Tag - fine

Upwards photo of bank or finance building columns

OFSI fines Deutsche Bank London

19/05/2026

FCA fines and bans individual over pension transfer advice

12/05/2026

Upwards photo of bank or finance building columns

FCA charges unauthorised mortgage broker

30/04/2026

Sideways view of glass corporate building

FCA fines investment firm over market abuse controls failure

27/03/2026

Front of The Gherkin, London, with a view into office spaces

PRA fines Bank of London group entities

24/03/2026

Tribunal upholds FCA fine and ban on adviser

19/01/2026

FCA fines Nationwide for financial crime control failings

12/12/2025

FCA fines Woodford and former director £46m for management failures

06/08/2025

FCA fines Sigma Broking £1.1m for transaction reporting failures

04/08/2025

PRA issues first reinsurer fine

28/07/2025

Former deputy CEO banned for misleading FCA

25/07/2025

Tribunal approves FCA decision on ban and revised penalties for pensions directors

30/05/2025

PRA fines former NED for Individual Conduct Rule breaches

02/04/2025

Supreme Court permission to appeal application lodged in Markou case

11/03/2025

FCA fines Mako in cum-ex trading investigations

18/02/2025

FCA fines Arian Financial for failings relating to cum-ex trading

10/01/2025

FCA successfully appeals Upper Tribunal decision

18/12/2024

FCA fines Wise CEO for failing to notify tax issues

29/10/2024

FCA fines E-money firm £3.5m

25/07/2024

FCA bans individuals for mistreatment of customer funds

24/06/2024

PRA fines former CEO for Conduct Rules breaches

11/01/2024

OFSI fines company for employee flight sanctions breach

29/06/2022

PRA fines Metro Bank following regulatory reporting failure

22/12/2021

HMRC reports on MLR non-compliance

21/12/2021

HMRC updates on MLR fines

16/08/2021

FCA fines adviser for pension transfer advice failings

09/08/2021

FCA fines CMC for cold calling

28/06/2021

FCA fines FX options broker for market misconduct

24/11/2020

Ireland and Romania fined for late implementation of MLD4

17/07/2020

Unfair Treatment lands Moneybarn big fine

17/02/2020

PRA fines banks £43.9m for regulatory reporting failures

26/11/2019

FCA imposes £15.4m file for Principles breaches

15/10/2019

PRA sets out their approach to enforcement

31/07/2019

FCA fines Standard Life for non-advised sales failings

23/07/2019

Bank fined £45.5 million for failure to share suspicions of fraud with FCA

21/06/2019

FCA imposes £27.6 million fine for transaction reporting failures

19/03/2019

FCA publishes final notices on client money

FCA publishes final notices on client money

30/08/2018

FCA fines and bans former trader for benchmark manipulation

FCA fines and bans former trader for benchmark manipulation

05/03/2018

FCA fines broker for misleading customers

FCA fines broker for misleading customers

06/12/2017

FCA issues largest AML fine

FCA issues largest AML fine

01/02/2017