Fine
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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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Shay Jacob Reches (additional penalty) Fined £13,130,000 by the Financial Conduct Authority
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For breaching section 63A of the Financial Services and Markets Act 2000 and FIT

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Stephen Edward Bell Fined £33,800 by the Financial Conduct Authority
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For systemic weaknesses in the design and execution of network Financial Group€™s compliance systems and controls.

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