fines

Regulation

FCA fines plunge from £905m last year to £20m in 2016

APFA called for redistribution of fines to cover compensation cost

09 June 2016 • 2 min read

Asset Managers

FCA fines and bans former Towry adviser for insider dealing in Ashcourt Rowan acquisition

Engaged in market abuse during takeover of Ashcourt Rowan.

13 May 2016 • 2 min read

Financial services

FSCS lowers total levy to £337m but SIPP advisers see bills rise

SIPP claims predicted to rise

26 April 2016 • 1 min read

Regulation

Goldman Sachs agrees $5bn settlement for MBS 'serious misconduct'

Mis-sold loans in 2005 to 2007

12 April 2016 • 1 min read

Asset Managers

Top 10 mis-selling scandals cost UK retail banks £53bn since 2000

Lloyds faces biggest fines

11 April 2016 • 1 min read

Asset Managers

FCA fines WH Ireland £1.2m and restricts new client bookings over market abuse failings

Was warned of fine in December

23 February 2016 • 2 min read

Asset Managers

FCA fines ex-JP Morgan Chase boss £793k over 'London Whale' failings

Failed to be "open and co-operative"

09 February 2016 • 1 min read

Regulation

Fines jump 271% as UK watchdogs get tough on financial crime

Regulators issue further prison sentences

30 November 2015 • 2 min read

Financial services

Barclays fined £72m for financial crime oversight failings

Biggest fine of its type ever issued

26 November 2015 • 1 min read

Financial services

Santander makes £43m provision for investment advice claims

Follows fines for advice failings

29 October 2015 •

234

Most read

01

Baillie Gifford trusts slams Saba for wanting to make 'self-serving and destructive changes'

06 January 2025 • 3 min read

02

Saba resubmits Edinburgh Worldwide documents triggering shareholder vote over board

06 January 2025 • 1 min read

03

Rathbones AM poaches from Schroders for business development director role

06 January 2025 • 1 min read

04

UK companies under fire as US activist attacks reach three-year high

06 January 2025 • 3 min read

05

UK adults hold the smallest percentage of wealth in investments of all G7 countries

06 January 2025 • 2 min read