Fine
0
Aviva Investors Global Services Limited Fined £17,607,000 by the Financial Conduct Authority
0

For breaching Principle 3 and 8 of the Authority's Principles for Businesses and related Rules.

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David Gillespie Fined £10,500 by the Financial Conduct Authority
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For serious failings in relation to the protection of client money.

0
Philip Eley Fined £7,200 by the Financial Conduct Authority
0

For failing to meet the criteria of fitness and propriety by falsifying documents in relation to customers’ policies.

0
Swinton Group Limited Fined £7,380,400 by the Financial Conduct Authority
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For failings in relation to its telephone sales of monthly add-on insurance products.

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Ewan King Fined £19,900 and Banned by the Financial Conduct Authority
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pursuant to section 66 and section 56 of the Act

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MARKETS.COM penalized by Cyprus Securities and Exchange Commission
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Violating the Investment Services and Activities and Regulated Markets Law of 2007

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