Fine
0
Swinton Group Limited Fined £7,380,400 and Banned by the Financial Conduct Authority
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Swinton breached Principles 3 (Management and control), 6 (Customers’ interests) and 7 (Communications with clients) of the Authority’s Principles for ...

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FCA fines Merrill Lynch
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Misconduct

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Mr. Danny Rothman (or Mr. Daniel Rubinstein) Fined €100000.00 by the Cyprus Securities Exchange Commission
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provide misleading information and date in relation to his academic qualifications and economic soundness

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CySEC fined Iron FX Global Ltd (now Notesco Financial Services Ltd)
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The Board of the Cyprus Securities and Exchange Commission (‘the CySEC’) would like to inform the public that, at the meeting held on 4 th December 2017, ...

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Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited Fined £8,246,800.00 by the Financial Conduct Authority
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Firms breached Principle 3 (Management and Control) and Principle 10 (Clients’ Assets) of the Authority’s Principles for Businesse

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Andrea Christine Sadler Fined £18,700 by the Financial Conduct Authority
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For breaching Statement of Principle 6, FIT

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