Showing 132 to 141 of 169 search results for fines and penalties.

132. Fines

     Table of fines with links to further information.

133. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

     Speeches Published: 12/05/2014 Last modified: 13/05/2014
     Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

134. Tribunal upholds £80,000 fine for broker who lied about income and used falsified payslips in mortgage application

     Press Releases Published: 17/04/2014 Last modified: 29/11/2021
     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to impose a financial penalty of £80,000 on Amir Khan, director of Sovereign Worldwide Limited (Sovereign), for dishonestly submitting false income

135. A sustainable conduct environment

     Speeches Published: 20/03/2014 Last modified: 27/03/2014
     Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

136. Besso Limited fined for anti-bribery and corruption systems failings

     Press Releases Published: 19/03/2014 Last modified: 19/03/2014
     Were it not for this discount, the financial penalty would have been £450,000.

137. FCA confirms tough new rules for £200bn consumer credit market

     Press Releases Published: 28/02/2014 Last modified: 28/02/2014
     We will respond quickly to any issues that are identified and there will be swift penalties for any firm or individual found not to be putting consumers’ interests first, including possible ... Firms that break the rules may face detailed

138. Adviser banned and fined for fabricating RDR qualification certificates

     Press Releases Published: 30/01/2014 Last modified: 30/01/2014
     Were it not for this discount, the FCA would have imposed a financial penalty of £25,734.

139. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

     Press Releases Published: 23/01/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

140. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

     Press Releases Published: 19/12/2013 Last modified: 30/08/2015
     The fine of £1,876,000 follows JLTSL’s agreement to settle at an early stage of the investigation. ... As a result, it qualifies for a 30% reduction on the original penalty of £2,684,013.

141. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

     Press Releases Published: 13/12/2013 Last modified: 08/11/2016
     The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices. ... Porta Verde, which is now entering into voluntary liquidation, provided evidence of financial hardship - the £25,000 penalty reflects Porta

142. Tribunal upholds FCA fine on firm for misselling complex investments

     Press Releases Published: 27/11/2013 Last modified: 17/12/2013
     Tribunal upholds FCA fine on firm for misselling complex investments. Press Releases First published:. ... We take the view that a penalty of £100,000 or more is a significant amount and would be an effective deterrent to others.".