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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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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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FCA's asset rules are 'significant' policy shift 11 Jun 2014
Market participants have dubbed the UK Financial Conduct Authority's (FCA) new rules on regulation of client assets as a major policy move that ...
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FCA finalises client money and custody rules 10 Jun 2014
The UK Financial Conduct Authority (FCA) has published its final changes to rules over client money and custody assets in order to increase the ...
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Whistleblowing reports to FCA up 64% 30 May 2014
The Financial Conduct Authority (FCA) has seen a 64% increase over the past year in the number of whistleblowing reports it has received ...
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FCA fines Invesco Perpetual £18.6m 29 Apr 2014
The UK Financial Conduct Authority (FCA) has fined Invesco Asset Management Limited and Invesco Fund Managers Limited (Invesco Perpetual ...
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BoE, FCA appoints complaints commissioner 25 Apr 2014
The Bank of England and the Financial Conduct Authority (FCA) have announced the appointment of Antony Townsend as complaints ...
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FCA hires two senior advisers 23 Apr 2014
The UK Financial Conduct Authority (FCA) has appointed David Saunders and Gunner Burkhart as senior advisers. Formerly ...
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