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 - read more

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

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