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Showing 11 to 15 of 15 search results for Update on potential enforcement action against Link.
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Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
Examining the future of anti-money laundering regulations
Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015 -
FCA fines Barclays £284,432,000 for forex failings
The Financial Conduct Authority (FCA) has imposed a financial penalty of £284,432,000 on Barclays Bank Plc (Barclays) for failing to control business practices in its foreign exchange (FX) business in London. -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version. -
AXA fined and reviews investment sales for advice failings
The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.