FCA Fines 2017
How much has the FCA fined firms and individuals in 2017?
The FCA has issued 13 monetary penalties totalling £229,515,303 in 2017 (last updated 14 Dec 2017).
Last updated 14 Dec 2017
RegActions records £229,515,303 across 13 disclosed monetary penalties in 2017. The latest included penalty is dated 14 Dec 2017.
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 2017 fines page · Explore the complete FCA fines database · Read the FCA fines 2017 monthly report · Open the 2017 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
| Month | Penalties | Total |
|---|---|---|
| January | 1 | £163,076,224 |
| March | 1 | £37,198 |
| April | 2 | £116,900 |
| July | 1 | £75,000 |
| September | 1 | £86,691 |
| October | 4 | £61,969,400 |
| November | 1 | £60,090 |
| December | 2 | £4,093,800 |
FCA fines issued in 2017
| Firm or individual | Date | Amount | Breach | Evidence |
|---|---|---|---|---|
| Tejoori Limited | 14 Dec 2017 | £70,000 | MARKET_ABUSE | Official source |
| Bluefin Insurance Services | 6 Dec 2017 | £4,023,800 | GOVERNANCE | Official source |
| Paul Axel Walter | 22 Nov 2017 | £60,090 | MARKET_ABUSE | Official source |
| Merrill Lynch International | 23 Oct 2017 | £34,524,000 | REPORTING | Official source |
| Rio Tinto Plc | 17 Oct 2017 | £27,385,400 | MARKET_ABUSE | Official source |
| Mrs Colette Chiesa | 12 Oct 2017 | £50,000 | INVESTMENT | Official source |
| Clive John Rosier | 5 Oct 2017 | £10,000 | MIS_SELLING | Official source |
| Charles Palmer | 19 Sep 2017 | £86,691 | GOVERNANCE | Official source |
| David Samuel Watters | 14 Jul 2017 | £75,000 | PENSIONS | Official source |
| Lukhvir Thind | 7 Apr 2017 | £105,000 | CLIENT_MONEY | Official source |
| Niall O’Kelly | 7 Apr 2017 | £11,900 | CLIENT_MONEY | Official source |
| Christopher Niehaus | 30 Mar 2017 | £37,198 | INVESTMENT | Official source |
| Deutsche Bank AG | 31 Jan 2017 | £163,076,224 | AML | Official source |
Frequently asked questions
What is the largest FCA fine in 2017?
The largest FCA fine issued in 2017 and currently recorded by RegActions is £163,076,224, issued to Deutsche Bank AG on 31 Jan 2017 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 2017?
RegActions records £229,515,303 in disclosed Financial Conduct Authority (FCA) monetary penalties in 2017, 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 2017?
RegActions has recorded 13 disclosed Financial Conduct Authority (FCA) monetary penalties in 2017 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.