Fine
Kleinwort Hambros hit with triple fine in Jersey
Watchdog says penalties will be ‘a deterrent for all regulated businesses’
Goldman Sachs CEO gets $10m pay cut over 1MDB scandal
President and COO, and CFO have also been hit with penalties
FCA refuses to authorise more than 340 firms
As it prevents 12 financial advice companies from phoenixing
Charles Schwab UK fined £9m for failing to protect client assets
It ‘carried out a regulated activity without permission’ and gave a ‘false statement’, says regulator
FCA fines IFA firm over ‘unsuitable’ pension transfer advice
It has paid redress of around £2.7m to 41 customers impacted by the switch to Sipps