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£31m in compensation to be paid out following FCA’s Arch cru consumer redress scheme
£31m in compensation to be paid out following FCA’s Arch cru consumer redress scheme. Press Releases First published:. 27/01/2014. Last updated: 27/01/2014. Share page. £31m in compensation to be paid out following FCA’s Arch cru consumer -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs). -
FCA publishes finalised guidance on inducements for product providers and advisory firms
In finalised guidance on inducements published today, the Financial Conduct Authority (FCA) makes it clear that financial advisers and product providers share the responsibility of managing potential conflicts of interests when receiving and making -
Three arrested in FCA boiler room investigation
Three arrested in FCA boiler room investigation. Press Releases First published:. 15/01/2014. Last updated: 15/01/2014. Share page. Three arrested in FCA boiler room investigation. The Financial Conduct Authority (FCA), with the assistance of the -
Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments
Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments. Press Releases First published:. 19/12/2013. Last updated: 30/08/2015. Share page. Firm fined £1.8million for "unacceptable" approach to -
Tribunal bans former trader for lying to the FCA and the Tribunal
Tribunal bans former trader for lying to the FCA and the Tribunal. Press Releases First published:. 17/12/2013. Last updated: 19/12/2013. Share page. Tribunal bans former trader for lying to the FCA and the Tribunal. The Upper Tribunal (Tax and -
FCA bans four for 'disgraceful' failings in relation to occupational pension schemes
Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics -
The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices
The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices. Press Releases First published:. 13/12/2013. Last updated: 08/11/2016. Share page. The FCA fines Porta Verde £25,000 for serious failings -
Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue
Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue. -
FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings
The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.