Showing 122 to 131 of 169 search results for fines and penalties.

122. Fines

     Table of fines with links to further information.

123. FCA fines Chase de Vere for failures surrounding sale of Keydata Products

     Press Releases Published: 17/11/2014 Last modified: 17/11/2014
     FCA fines Chase de Vere for failures surrounding sale of Keydata Products. ... Without the discount the financial penalty would have been £800,000.

124. Best of British Conference

     Speeches Published: 14/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

125. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

     Press Releases Published: 12/11/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358

126. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

     Press Releases Published: 09/10/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

127. Barclays fined £38 million for putting £16.5 billion of client assets at risk

     Press Releases Published: 23/09/2014 Last modified: 30/08/2015
     Without this, the FCA would have imposed a penalty of £53,921,619. ... Fines were imposed on the following firms for similar failings:and,and Kyte Group Limited.

128. Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi

     Press Releases Published: 30/07/2014 Last modified: 30/07/2014
     Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi. ... The Tribunal directed the FCA to impose a penalty on Micalizzi of £2.7 million (reduced from £3 million) and a full prohibition.

129. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     £70 million of the fine relates to attempts to manipulate the fees payable to the Bank of England for the firms’ participation in the SLS, a taxpayer-backed government scheme designed ... The £105 million total fine is the joint third highest ever

130. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

     Press Releases Published: 16/06/2014 Last modified: 09/12/2016
     Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures. ... were clear, fair and not misleading. CSI was fined £2,398,100 and YBS’s fine was £1,429,000.

131. Our supervision overview

     Speeches Published: 02/06/2014 Last modified: 28/06/2024
     Speech by Clive Adamson, director of supervision, at the General Insurance conference, London.

132. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

     Press Releases Published: 15/05/2014 Last modified: 22/03/2016
     Martins also agreed to settle an action brought by the CFTC, who imposed a financial penalty of $1.2 million. ... With this settlement, the FCA has now imposed penalties of £426.63 million on entities for manipulative conduct with respect to LIBOR