Enforcement Case Highlights

Posted on 31 January 2018

17 October 2017: Rio Tinto Plc fined £27 million for DTR breaches - read more

18 October 2017: Merrill Lynch receives substantial fine for transaction reporting failures - read more

23 October 2017: Taking Financial Ombudsman Service decisions seriously: Foreman Financial Services - read more

6 November 2017: First Upper Tribunal Case on Third Party Rights Since Macris

22 November 2017: Penalty for BAML "algo-baiter" - read more

5 December 2017:  Bluefin Insurance fined £4m for putting commercial interests ahead of customers' interests - read more

13 December 2017: Fine on AIM Company For Late Disclosure - read more

25 January 2018: FCA fine for failures around suspicious activity reporting highlights the risks in relying on group-wide controls in UK companies - read more

How can we help you?

How can we help you?

Subscribe: I'd like to keep in touch

If your enquiry is urgent please call +44 20 3321 7000

Crisis Hotline

Emergency number:

COVID-19 Enquiry

Please enter your first name
Please enter your last name
Please enter your enquiry
Please enter your email address
Please enter your phone number
Please select a contact method

I'm a client

Please enter your first name
Please enter your last name
Please enter your enquiry
Please enter an email address
Please enter your phone number
Please enter a value

I'm looking for advice

Please enter your first name
Please enter your last name
Please enter your enquiry
Please select a department
Please enter your email address
Please enter your phone number
Please select a contact method

Something else

Please enter your first name
Please enter your last name
Please enter your enquiry
Please enter your email address
Please enter your phone number
Please select your contact method of choice