Free Trial Corporate Access


Search Results

Results 1-10 of 85 for FCA. (0.042807 seconds)

relevance / newest first / oldest first

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 ...
View this article

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 ...
View this article

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 ...
View this article

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 ...
View this article

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). ...
View this article

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. ...
View this article

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 ...
View this article

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 ...
View this article

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 ...
View this article

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 ...
View this article

< Previous Page 1 of 9 Next >
1 | 2  | 3  | 4  | 5  | 6  | 7  | 8  | 9

Search Global Investor online

Search Options [Expand]







 
 

Search by Asset Management [Expand]

Search by Asset Servicing [Expand]

Search by Regions [Expand]