financial penalty

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FCA fines and bans former RBS trader

09/01/2018(0)
The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from ... Read More
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Bond Trader fined for market abuse

28/11/2017(0)
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging ... Read More
FCA_regulator

Upper Tribunal upholds the FCA’s decision to fine and ban former CEO of adviser network

10/08/2017(0)
On 8 August 2017, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from ... Read More
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FCA fines Barclays £284,432,000 for forex failings

20/05/2015(0)
The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business ... Read More
FCA_regulator

FCA fines Reckitt Benckiser

20/01/2015(0)
FCA fines Reckitt Benckiser £539,800 for listing rule failures. FCA has issued a press release today regarding Reckitt Benckiser, stated that: Due inadequate systems and controls to monitor share-dealing by its ... Read More
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