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FCA shakes up strategic approach 09 Jun 2015
... excellent reputations for their work in financial services across the globe, and I am delighted they have chosen to bring their experience to the FCA.". ...
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FCA fines Merrill Lynch for reporting failures 24 Apr 2015
Highest fine ever imposed by the FCA for transaction reporting failures at £13.2m. Merrill Lynch International has been fined ...
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FCA fines BNY Mellon for breach of custody rules 17 Apr 2015
The UK Financial Conduct Authority (FCA) has issued a £125m ($188m) fine to BNY Mellon's London branch (BNYMLB) and the Bank of New York ...
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FCA and DWP call for views on transaction cost reporting 02 Mar 2015
The Financial Conduct Authority (FCA) and the Department for Work and Pensions (DWP) have made a joint call for evidence on the disclosure of ...
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Regulators fine Deutsche Bank $2.5bn 24 Apr 2015
... of $800m, the US Department of Justice a penalty of $775m, the New York Department of Financial Services a fine of $600m and the FCA, a $340m ...
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New boutique Thornbridge buys first funds 03 Sep 2015
... Thornbridge plans to buy in-house funds from firms that are looking to scale down in the wake of the FCA's 2014 in-house fund review. ...
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FCA fines Deutsche Bank for misreported swaps 11 Aug 2014
The FCA has fined Deutsche Bank's London branch £4.7m ($7.8m) for failing to properly report equity swap contracts for difference (CDFs). ...
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FCA market abuse fines top £340m in 2013 07 Aug 2014
In 2013 the FCA fined firms and individuals a total of £346,373,924 for market abuse related breaches, according to research by Kinetic Partners. ...
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BNY Mellon gets AIFMD go-ahead from FCA 16 Jul 2014
BNY Mellon has received the UK Financial Conduct Authority's (FCA) approval to provide trustee and depositary services to alternative investment ...
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Barclays fined £38m for custody breaches 23 Sep 2014
This is the highest fine ever imposed by the FCA for for failing to properly protect clients' custody assets. Barclays Bank has ...
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