Corporate Governance: Mitsui
Failings led to £3.345M financial penalty
Client Money: Auditor Failings
PwC fined £1.4M
Mercurius
Multiple failings led to prohibitions and fines for CEO and Compliance Officer
Swift Decision
FSA publishes decision notice for firm engaged in market abuse
Compliance Officer: FSA Action
Final Notice for individual issued
Client Money: FSA Action
Broker fined for client money failings
Client Money
Barclays Capital fined £1.12m for client money failings
Fines 2010
A bumper year
Client money
Further penalties for firms
Other FSA Fines
FSA fines to date in 2010 are up to £14.3m