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The FCA has fined and banned three executives of SVS Securities Plc for misconduct, including conflicts of interest and mismanagement, which risked £69.1 million in customer investments. SVS prioritized its own income, funneling funds into high-risk bonds without due diligence.

HSBC was fined £6.28 million by the FCA for inadequate support of financially distressed customers between 2017 and 2018. Despite initial policy failures, HSBC proactively invested £94 million in corrective actions and issued £185 million in customer redress, reducing the penalty by 30%. This case underscores the importance of fair treatment and compliance in customer support across the financial industry.