FCA Fines 2015

How much has the FCA fined firms and individuals in 2015?

The FCA has issued 40 monetary penalties totalling £905,219,078 in 2015 (last updated 17 Dec 2015).

Last updated 17 Dec 2015

RegActions records £905,219,078 across 40 disclosed monetary penalties in 2015. The latest included penalty is dated 17 Dec 2015.

The total includes positive monetary penalties with amounts that have passed the RegActions amount-review gate. It excludes non-monetary actions and records whose amounts require review.

Check the FCA's official 2015 fines page · Explore the complete FCA fines database · Read the FCA fines 2015 monthly report · Open the 2015 actions workspace

What counts as an FCA fine?

An FCA fine is a financial penalty imposed by the Financial Conduct Authority and disclosed through an official notice or annual fines page. RegActions keeps monetary penalties separate from prohibitions, cancellations, public censures and other non-monetary enforcement outcomes. This prevents action counts from being mistaken for fine counts and makes the published total easier to audit.

How to verify an FCA penalty

Start with the firm or individual, penalty date and disclosed amount, then open the linked FCA notice. The notice explains the rule breaches, affected period and sanction. RegActions provides the comparison and monthly analysis layer, while the regulator publication remains the authoritative source for the decision.

Monthly breakdown

MonthPenaltiesTotal
January4£1,085,800
February1£17,607,000
March10£6,292,312
April5£386,923,500
May2£284,722,344
June2£122,081,800
August6£7,735,900
September3£412,111
October2£76,600
November2£72,208,400
December3£6,073,311

FCA fines issued in 2015

Firm or individualDateAmountBreachEvidence
Vroni Mavis O'Brien17 Dec 2015£20,000PRINCIPLESOfficial source
Threadneedle Asset Management Limited15 Dec 2015£6,038,504PRINCIPLESOfficial source
Paivi Katriina Grigg11 Dec 2015£14,807PRINCIPLESOfficial source
Barclays Bank plc26 Nov 2015£72,069,400PRINCIPLESOfficial source
Mothahir Miah17 Nov 2015£139,000GOVERNANCEOfficial source
Andrew Peter Wilkins27 Oct 2015£50,000GOVERNANCEOfficial source
Quick Purchase23 Oct 2015£26,600PRINCIPLESOfficial source
John Joseph Financial Services Limited30 Sep 2015£20,000SYSTEMS_CONTROLSOfficial source
Craig McNeil22 Sep 2015£350,000GOVERNANCEOfficial source
Ralph Paul Whittington10 Sep 2015£42,111PRINCIPLESOfficial source
Robert Ian Shaw13 Aug 2015£165,900Not categorisedOfficial source
Mineworld Ltd12 Aug 2015£5,000,000MARKET_ABUSEOfficial source
Da Vinci Invest Ltd12 Aug 2015£1,460,000MARKET_ABUSEOfficial source
Tamas Pornye12 Aug 2015£410,000MARKET_ABUSEOfficial source
Szabolcs Banya12 Aug 2015£410,000MARKET_ABUSEOfficial source
Gyorgy Szabolcs Brad12 Aug 2015£290,000MARKET_ABUSEOfficial source
Asia Resource Minerals plc (formerly Bumi plc)17 Jun 2015£4,651,200FINANCIAL_PROMOTIONSOfficial source
Lloyds Bank plc, Bank of Scotland plc and Black Horse Limited (together Lloyds Banking Group "LBG")5 Jun 2015£117,430,600PRINCIPLESOfficial source
Barclays Bank Plc20 May 2015£284,432,000PRINCIPLESOfficial source
Paul Reynolds (formally known as Paul Brian Reynolds)20 May 2015£290,344PRINCIPLESOfficial source
Deutsche Bank AG23 Apr 2015£226,800,000PRINCIPLESOfficial source
Moorhouse Group Limited23 Apr 2015£159,300PRINCIPLESOfficial source
Merrill Lynch International22 Apr 2015£13,285,900REPORTINGOfficial source
The Bank of New York Mellon London Branch & The Bank of New York Mellon International Limited15 Apr 2015£126,000,000CLIENT_MONEYOfficial source
Clydesdale Bank Plc14 Apr 2015£20,678,300PRINCIPLESOfficial source
Robin Farrell31 Mar 2015£650,000GOVERNANCEOfficial source
Robert Addison31 Mar 2015£200,000GOVERNANCEOfficial source
Kenneth George Carver30 Mar 2015£35,212MARKET_ABUSEOfficial source
Lloyd Arnold Pope20 Mar 2015£93,800Not categorisedOfficial source
Alberto Micalizzi18 Mar 2015£2,700,000GOVERNANCEOfficial source
Sam Thomas Kenny13 Mar 2015£450,000GOVERNANCEOfficial source
Stephen Edward Bell13 Mar 2015£33,800SYSTEMS_CONTROLSOfficial source
Bank of Beirut (UK) Ltd5 Mar 2015£2,100,000PRINCIPLESOfficial source
Anthony Rendell Boyd Wills5 Mar 2015£19,600GOVERNANCEOfficial source
Michael John Allin5 Mar 2015£9,900GOVERNANCEOfficial source
Aviva Investors Global Services Limited24 Feb 2015£17,607,000PRINCIPLESOfficial source
David Caplin22 Jan 2015£210,000PRINCIPLESOfficial source
Jeremy Kraft22 Jan 2015£105,000PRINCIPLESOfficial source
Reckitt Benckiser Group Plc20 Jan 2015£539,800FINANCIAL_PROMOTIONSOfficial source
Execution Noble & Company Limited (ENCL)6 Jan 2015£231,000Not categorisedOfficial source

Frequently asked questions

What is the largest FCA fine in 2015?

The largest FCA fine issued in 2015 and currently recorded by RegActions is £284,432,000, issued to Barclays Bank Plc on 20 May 2015 by the Financial Conduct Authority. This reflects amounts that have passed RegActions' amount-review gate; see the fines table below for the complete, source-linked list.

How much has FCA fined in 2015?

RegActions records £905,219,078 in disclosed Financial Conduct Authority (FCA) monetary penalties in 2015, based on source-linked notices that have passed the amount-review gate. This excludes non-monetary actions such as prohibitions and public censures.

How many FCA penalties were issued in 2015?

RegActions has recorded 40 disclosed Financial Conduct Authority (FCA) monetary penalties in 2015 so far. This counts individual penalty notices, not firms, since some are fined more than once in a year.

How can I verify a FCA fine?

Start with the firm or individual name, the penalty date and the disclosed amount, then open the linked Financial Conduct Authority notice. The notice sets out the rule breaches, the affected period and the sanction. RegActions links every record to its official source; the regulator's own publication remains the authoritative record.

More FCA fines reports