News

  1. News
  2. News search results
Filter results
Filter by year
Sort by:

Search results

Press releases Clear all filters

Showing 1231 to 1240 of 1321 search results.

  1. FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls

    Press Releases Published: 09/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010.

  2. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.

  3. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

  4. Financial Conduct Authority appoints four new supervision directors

    Press Releases Published: 07/08/2013 Last modified: 09/12/2016
    The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division

  5. Andy Briscoe appointed chairman of Money Advice Service

    Press Releases Published: 01/08/2013 Last modified: 01/08/2013
    Former Life Trust Holdings CEO Andy Briscoe has been appointed chair of the Money Advice Service.

  6. Four arrested in FCA insider dealing investigation

    Press Releases Published: 30/07/2013 Last modified: 05/04/2023
    The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.

  7. Retail Distribution Review six months in – how firms are implementing the RDR

    Press Releases Published: 25/07/2013 Last modified: 09/02/2017
    The Financial Conduct Authority (FCA) has published an early review of how advisory firms have implemented some of the core aspects of the Retail Distribution Review (RDR) months after its implementation.

  8. Ensuring markets work well for consumers and for firms – FCA publishes guidance on its approach to objectives

    Press Releases Published: 24/07/2013 Last modified: 16/08/2013
    The Financial Conduct Authority’s (FCA) mandate to ensure there is effective competition in financial services markets represents the most significant change to the new regulatory regime, said Chief Executive Martin Wheatley today.

  9. Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions

    Press Releases Published: 24/07/2013 Last modified: 17/09/2013
    The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.

  10. FCA v former iSOFT directors

    Press Releases Published: 22/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today announced that it has decided not to pursue a second retrial in the case against Stephen Graham, Timothy Whiston and John Whelan (formerly of ISoft plc) at Southwark Crown Court. The FCA will also not