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Enforcement Case Highlights

Posted on 28 January 2020

11 October 2019: FCA Fines Tullett Prebon £15.4m - read more

18 November 2019: First Jointly Contested Enforcement Case Before the FCA and PRA Decision Making Committees - read more

20 November 2019: Henderson Funds Fined £1.9 million for Failing to Protect Retail Customers - read more

26 November 2019: PRA Fines Citigroup Companies £44m in Largest PRA Fine to Date - read more

20 December 2019: First FCA Fine Under the Market Abuse Regulation for PDMR Notification Failures - read more

23 December 2019: Enhanced Whistleblowing Requirements for The Society of Lloyd's Following PRA Written Notice - read more

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