Fine
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AXA Wealth Services Ltd Fined £1,802,200 by the Financial Conduct Authority
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For failing to ensure it gave suitable investment advice to its customers.

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J.P. Morgan International Bank Limited Fined £3,076,200 by the Financial Conduct Authority
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For systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

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Co-operative Bank plc Fined £113,300 by the Financial Conduct Authority
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For failing to handle payment protection insurance (PPI) complaints fairly.

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FCA fines compliance oversight officer for pension transfer failings
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failing to exercise due skill, care and diligence

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UBFS gets charged by CySEC
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Non Compliance paragraph 9(1)

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CySEC fined Chesterfield Corporate Services Ltd
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The Board of the Cyprus Securities and Exchange Commission (CySEC) has just informed the public that, at its meeting held on 20th November 2017, decided to ...

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Tariq Carrimjee Fined £89,004 by the Financial Conduct Authority
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for breaching Statement of Principle 2 of the Authority’s Statements of Principle for Approved Persons

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