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Showing 41 to 50 of 859 search results for enforcement.
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FCA confiscates over £500,000 from convicted insider dealer
The FCA has secured a confiscation order of £586,711.01 against Mohammed Zina, a convicted insider dealer. -
FCA secures confiscation order against convicted fraudster
The FCA has secured a confiscation order of £5,963,376.15, against convicted fraudster Guy Flintham. -
FCA issues first fine for transaction reporting failures under MiFIR
Infinox Capital Limited has been fined £99,200 by the FCA for failing to submit 46,053 transaction reports which risked market abuse going undetected. -
FCA review finds gaps remain in brokers’ money laundering defences
The FCA has found wholesale brokers need to enhance their systems, controls, risk awareness and training to guard against money laundering. -
2025 fines
Enforcement fines published in 2025. -
FCA fines Arian Financial LLP £288,962.53 for failings relating to cum-ex trading
The FCA has fined Arian Financial LLP £288,962.53 for failing to ensure it had effective systems and controls against financial crime. -
FCA charges John Dance with offences related to WealthTek
The FCA has charged John Dance with 9 criminal offences, including multiple counts of fraud and money laundering. -
FCA publishes decisions against director and financial adviser for pension transfer advice failings
The FCA has decided to ban two individuals from working in financial services, and fine them £270,646 and £399,817 respectively. -
FCA seeks further views on enforcement transparency proposals
The FCA has published the second phase of its consultation on proposals for a measured increase in transparency about its enforcement investigations, and set out plans for further engagement after significant concerns were raised in relation to the -
FCA fines former airline executive for trading during closed periods and for trade disclosure failures
The FCA has fined András Sebők, former executive at Wizz Air, £123,500 for trading company shares when he wasn’t permitted to, and failing to disclose trades.