fines

Chrysalis holding Starling Bank hit with £29m fine over 'shockingly lax' financial crime controls

Regulation

Chrysalis holding Starling Bank hit with £29m fine over 'shockingly lax' financial crime controls

Bank represents 30% of the trust’s NAV

02 October 2024 • 2 min read

FCA doubles cancellations of non-compliant firms

Regulation

FCA doubles cancellations of non-compliant firms

Over 1,200 cancellations

02 January 2024 • 1 min read

Regulation

FCA fines financial planning firm £107k for unsuitable pension transfer advice

£2.6m in redress paid

10 December 2020 • 2 min read

Regulation

'Honeymoon period' as firms escape fines for MiFID II reporting failures

FCA pragmatism 'will not last forever'

05 December 2019 • 2 min read

Regulation

Has the FCA sharpened its claws of late?

Reviewing the regulator's latest aggressive streak

16 April 2019 • 2 min read

Regulation

Goldman Sachs slapped with £34m fine for 'serious and prolonged' MiFID reporting failures

On transactions between November 2007 and March 2017

28 March 2019 • 2 min read

Regulation

Fitch hit with record ESMA fine for conflict of interest breach

Took place between 2013 and 2018

28 March 2019 • 1 min read

Regulation

FCA fines against individuals plummet despite growing pressure on senior staff

Ahead of SMCR rollout

18 October 2018 • 3 min read

Regulation

Update: Deutsche Bank values asset management unit at €7.2bn ahead of IPO

Employs around 3,800 staff

12 March 2018 • 3 min read

Asset Managers

Deutsche Boerse pays insider trading fines relating to LSE merger

€10.5m fine

14 September 2017 • 1 min read

12 3

Most read

01

AJ Bell poaches Barclays Wealth manager selection chief for investment partnerships role

13 November 2024 • 1 min read

02

Industry reaches Consumer Duty stalemate and calls for FCA to provide further clarity on cost disclosure reforms

12 November 2024 • 11 min read

03

FCA admits there could have been better handling of name and shame proposals

13 November 2024 • 3 min read

04

Baillie Gifford Japanese fund added to Hargreaves Lansdown Wealth Shortlist

13 November 2024 • 2 min read

05

Baillie Gifford China Growth unveils performance-related tender offer

13 November 2024 • 2 min read