fines
Regulation
The Financial Conduct Authority (FCA) is set to ban and fine a former non-executive director (NED) at two mutual societies for failing to disclose her conflicts of interest.
24 May 2013
•
Regulation
The Financial Conduct Authority (FCA) plans to use the element of financial penalties it retains after passing cash to the Treasury to lessen fees across those it regulates.
09 April 2013
•
Regulation
A financial adviser has been banned and fined £117,330 for mis-selling unregulated collective investment schemes (UCIS).
29 October 2012
•
Regulation
The Financial Services Authority (FSA) has fined Swiss-based French hedge fund manager Stefan Chaligné £900,000 and handed out a lifetime ban for market abuse.
28 September 2012
•
Regulation
The Financial Services Authority (FSA) has fined IFA network Pi Financial £58,300 for advising its clients to invest in high risk products which were "clearly" unsuitable.
20 September 2012
•
Economics / Markets
US Federal authorities are reportedly investigating RBS over possible dealings with Iran, the latest case of a UK bank coming under scrutiny from US regulators.
22 August 2012
•
Economics / Markets
Standard Chartered has agreed to pay a $340m (£217m) fine to US regulators after it was accused of trying to hide up to $250bn of transactions with Iran.
15 August 2012
•
