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  1. FCA publishes warning notice statements for GAM International Management and Timothy Haywood

    Press Releases Published: 16/12/2021 Last modified: 16/12/2021
    The Financial Conduct Authority (FCA) has fined GAM international Management Limited £9.1m and Timothy Hayward £230,037 for conflicts of interest and gifts & entertainment matters.

  2. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

  3. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. CP20/16: Debt advice levy rates for 2020/21 – additional funding

    Consultation papers Published: 05/08/2020 Last modified: 16/10/2020
    We are consulting on the rates at which we propose to charge our levies for the additional amount of funding for debt advice notified to us by Her Majesty’s Treasury (the Treasury) and the Department for Work and Pensions (DWP) in 2020/21.

  5. CP24/1: Financial Services Compensation Scheme - Management Expenses Levy Limit 2024/25

    Consultation papers Published: 11/01/2024 Last modified: 09/02/2024
    In a joint consultation with the Prudential Regulation Authority (PRA), we are consulting on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS).

  6. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

    Press Releases Published: 13/07/2023 Last modified: 13/07/2023
    The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

  7. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

    Press Releases Published: 23/05/2013 Last modified: 22/11/2021
    The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

  8. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

    Press Releases Published: 05/06/2015 Last modified: 05/06/2015
    Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly. Press Releases First published:. 05/06/2015. Last updated: 05/06/2015. Share page. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly. The

  9. CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation

    Consultation papers Published: 10/10/2018 Last modified: 28/02/2019
    In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU

  10. Santander UK Plc (Santander) fined £32.8m for serious failings in its probate and bereavement process

    Press Releases Published: 19/12/2018 Last modified: 19/12/2018
    The Financial Conduct Authority (FCA) has fined Santander £32,817,800 for failing to effectively process the accounts and investments of deceased customers.
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