Fine
Latest news | 7 Nov 18
Tribunal backs FCA decision to fine Keydata pair millions
Keydata’s chief executive and sales director found to have ‘acted without integrity’
Tax & Regulation | 31 Oct 18
Jersey to fine individuals for breaking financial rules
Regulator can now penalise employees instead of just companies for breaches of Code of Practice
Adviser fines under regulatory microscope in Hong Kong
Insurance Authority eyes maximum HK$10m penalty for licensed insurance intermediaries
UK regulator slaps DFM with fine for market abuse failings
London firm has contested the regulator’s £409,300 fine
In the mix: heavier fines, judgement error, blacklist tweaks
A certain irony pervaded recent regulatory news. Just as HM Revenue & Customs fired a warning shot that threatened heavier fines for tax evaders with overseas assets, the next chair of the UK’s Financial Conduct Authority admitted an error in judgement in using a tax-avoidance film scheme promoted by Ingenious.