Lehman Brothers Financial SA (LEHNQ)

[cottonisking]

Financial Conduct Authority chief says increasing fines will not ...
https://www.theguardian.com/.../financial-conduct-authority-raising-fines-will-not-change - Cached
Mar 21, 2013 ... Increasing the level of fines on highly profitable financial institutions will not alter
their behaviour, the head of the Financial Conduct Authority said on ... Cyprus
has now backtracked from the idea of putting a levy of 6.75% on deposits
between €20,000 and €100,000 and a 9.99% levy on any deposits larger ...

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"This table contains information about fines published during the calendar year ending 2017. The total amount of fines so far is £229,515,303.

Tejoori Limited 14/12/2017 £70,000 For breaches of the Market Abuse Regulation related to market abuse in the issuer sector. We imposed a fine.

Bluefin Insurance Services 6/12/2017 £4,023,800 For breaches of PRIN 3 and PRIN 7 related to conflicts of interest, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.

Paul Axel Walter 22/11/2017 £60,090 For breaches of section 118 FSMA related to market abuse in the trading firm sector. We imposed a financial penalty.

Merrill Lynch International
23/10/2017 £34,524,000 For breaches of Article 9 of EMIR and PRIN 3 by failing to report 68.5 million derivative transactions.

Rio Tinto Plc 17/10/2017 £27,385,400 For breaches of the DTRs for failing to comply with the International Accounting Standards and report an impairment to the Market. We imposed a penalty of £27,385,400.

Mrs Colette Chiesa 12/10/2017 £50,000 For breaches of APER 4 and FIT related to a lack of fitness/propriety and failing to be open and co-operative in the investment adviser sector. We imposed a prohibition, withdrawal and fine.

Clive John Rosier 05/10/2017 £10,000 For breaches of APER 2 and APER 7 related to unfair treatment of customers, Complaints-handling and lack of fitness/propriety in the investment adviser and sector. We imposed a fine, withdrawal and prohibition.

Charles Palmer 19/09/2017 £86,691 For breaches of APER 6 and FIT related to appointed representatives/ networks, culture/governance, lack of fitness/propriety and unfair treatment of customers in the Investment Adviser sector.

David Samuel Watters 14/07/2017 £75,000 For breaches of APER 6 related to a lack of fitness/propriety in the pensions sector.

Lukhvir Thind 07/04/2017 £105,000 For breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector.

Niall O’Kelly 07/04/2017 £11,900 For breaches of s.118(7) Financial Services and Markets Act 2000 and FIT related to market abuse, a lack of fitness/propriety and client money/assets in the trading firm sector.

Christopher Niehaus 30/3/2017 £37,198 For breaches of APER 2 related to wholesale conduct in investment banking sector.

Deutsche Bank AG 31/1/2017 £163,076,224 For breaches of PRIN 3 and SYSC related to culture/governance and financial crime in the investment bank sector."

https://www.fca.org.uk/news/news-stories/2017-fines#footerContact

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The FCA will review and approve or deny the ECAPS preferred stock substitution request! The FCA... LBHI's Preferred Securities!