This table contains information about fines published during the calendar year ended December 2015. The total amount of fines is £905,219,078.
| Firm or individual fined | Date | Amount | Reasoning |
|---|---|---|---|
| Vroni Mavis O'Brien[1] | 17/12/2015 | £20,000 | For breaching Statement of Principle 2 and 7. |
| Threadneedle Asset Management Limited[2] | 15/12/2015 | £6,038,504 | For breaching Principles 3 and 11. |
| Paivi Katriina Grigg[3] | 11/12/2015 | £14,807 | For breaching Statement of Principle 6. |
| Barclays Bank plc[4] | 26/11/2015 | £72,069,400 | For breaching Principle 2. |
| Mothahir Miah[5] | 17/11/2015 | £139,000 | For breaching Principle 1 of the Statement of Principle and Code of Practice for Approved Persons. |
| Andrew Peter Wilkins[6] | 27/10/2015 | £50,000 | For breaching Statement of Principle 6 of the Authority's Statements of Principle for Approved Persons. |
| Quick Purchase[7] | 23/10/2015 | £26,600 | For breaching Principle 6. |
| John Joseph Financial Services Limited[8] | 30/09/2015 | £20,000 | For breaching Principle 9 and certain applicable rules set out in COB, COBS and SYSC. |
| Craig McNeil[9] | 22/09/2015 | £350,000 | For breaching Statements of Principle 4 and 6 of the FCA's Statements of Principle and Code of Practice for Approved Persons. |
| Ralph Paul Whittington[10] | 10/09/2015 | £42,111 | For breaching Statement of Principle 1. |
| Robert Ian Shaw[11] | 13/08/2015 | £165,900 | For breaching Statement of Principle 7. |
| Da Vinci Invest Ltd[12] | 12/08/2015 | £1,460,000 | For committing market abuse under s118(5) FSMA. |
| Mineworld Ltd[12] | 12/08/2015 | £5,000,000 | For committing market abuse under s118(5) FSMA. |
| Gyorgy Szabolcs Brad[13] | 12/08/2015 | £290,000 | For committing market abuse under s118(5) FSMA. |
| Szabolcs Banya[14] | 12/08/2015 | £410,000 | For committing market abuse under s118(5) FSMA. |
| Tamas Pornye[15] | 12/08/2015 | £410,000 | For committing market abuse under s118(5) FSMA. |
| Asia Resource Minerals plc (formerly Bumi plc)[7] | 17/06/2015 | £4,651,200 | For breaching Listing Principle (LP) 2, Listing Rules (LR) 8 and 11 and Disclosure and Transparency Rule (DTR) 4. |
| Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group "LBG")[8] | 05/06/2015 | £117,430,600 | For breaching Principle 6 of the Authority's Principles for Businesses. |
| Barclays Bank Plc[9] | 20/05/2015 | £284,432,000 | For breaching Principle 3 of the Authority's Principles for Businesses. |
| Paul Reynolds (formally known as Paul Brian Reynolds)[10] | 20/05/2015 | £290,344 | For breaching Statement of Principle 1 |
| Deutsche Bank AG[11] | 23/04/2015 | £226,800,000 | For breaching Principles 5, 3 and 11 of the Authority's Principles for Businesses. |
| Moorhouse Group Limited[12] | 23/04/2015 | £159,300 | For breaching Principle 3 and 7. |
| Merrill Lynch International[13] | 22/04/2015 | £13,285,900 | For breaching SUP 17.1.4R and SUP 17.4.1 EU by failing to report or to accurately report transactions. |
| The Bank of New York Mellon London Branch & The Bank of New York Mellon International Limited[14] | 15/04/2015 | £126,000,000 | For breaching Principle 10 and for breaching a number of rules in Chapter 6 of the Client Assets Sourcebook |
| Clydesdale Bank Plc[15] | 14/04/2015 | £20,678,300 | For breaching Principle 6 of the Authority's Principles. |
| Robin Farrell[16] | 31/03/2015 | £650,000 | For breaching Statements of Principle for Approved Persons 1 and 7. |
| Robert Addison[17] | 31/03/2015 | £200,000 | For breaching Statements of Principle for Approved Persons 1 and 7. |
| Kenneth George Carver[18] | 30/03/2015 | £35,212 | For behaviour amounting to market abuse in breach of section 118(2) of the act. |
| Lloyd Arnold Pope[19] | 20/03/2015 | £93,800 | For breaching Statement of Principle 7. |
| Alberto Micalizzi[20] | 18/03/2015 | £2,700,000 | For breaching Statement of Principle 1 of the Authority's Statement of Principles for Approved Persons. |
| Sam Thomas Kenny[21] | 13/03/2015 | £450,000 | For breaching Statement of Principle 1 and Principle 7 of the Authority's Statements of Principle and Code of Practice for Approved Persons. |
| Stephen Edward Bell[22] | 13/03/2015 | £33,800 | For systemic weaknesses in the design and execution of network Financial Group€™s compliance systems and controls. |
| Bank of Beirut (UK) Ltd[23] | 05/03/2015 | £2,100,000 | For breaching Principle 11. |
| Anthony Rendell Boyd Wills | 05/03/2015 | £19,600 | For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons. |
| Michael John Allin[33] | 05/03/2015 | £9,900 | For breaching Principle 4 of the Authority's Statement of Principles for Approved Persons. |
| Aviva Investors Global Services Limited[24] | 24/02/2015 | £17,607,000 | For breaching Principle 3 and 8 of the Authority's Principles for Businesses and related Rules. |
| David Caplin[25] | 22/01/2015 | £210,000 | For breaching Statement of Principle 7. |
| Jeremy Kraft[36] | 22/01/2015 | £105,000 | For breaching Statement of Principle 6 and 7. |
| Reckitt Benckiser Group Plc[26] | 20/01/2015 | £539,800 | For breaching listing rule 9.2.8 (LR9.2.8R), Principle 1 and 2, Disclosure Rule and Transparency Rule 3.1.4R(2) and DTR 3.1.5R. |
| Execution Noble & Company Limited (ENCL)[27] | 06/01/2015 | £231,000 | For breaches of the listing rules in relation to sponsors. |
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