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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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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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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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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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Asset management remuneration under pressure 15 Jun 2015
... at the Investment Association, the proportionate application of CRD and the AIFM directive through guidelines from Esma and the FCA has made ...
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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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