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Clydesdale Bank fined £8.9 million for failing to treat its mortgage customers fairly
Tracey McDermott, the FCA’s director of enforcement and financial crime said of the fine:. ... Clydesdale also received a 30% discount for settling at an early stage of the enforcement process. -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
IEL's significant failings in culture and controls allowed that misconduct to flourish and fell far short of our expectations. ... This is our fourth penalty in relation to LIBOR and our investigations continue. -
FCA review of medium-sized firms’ PPI complaints handling finds significant room for improvement
One medium sized firm has already been referred to Enforcement as a result of our action and the FCA is considering whether a number of others should also face further action. ... In our review, we found that some firms are doing this while it is clear -
Future into focus
Speech by Martin Wheatley, Chief Executive, the FCA, at the International Swaps and Derivatives Association (ISDA) conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades
Tracey McDermott, the FCA’s director of enforcement and financial crime said:. ... Maintaining the integrity of markets is a key part of our wholesale conduct agenda. -
Competition and conduct regulation in financial services
Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Regulatory Policy Institute's Annual Competition and Regulation Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs) -
Redress package agreed for consumers mis-sold CPP insurance products
The Financial Conduct Authority has reached an agreement with Card Protection Plan Limited (CPP) and 13 high street banks and credit card issuers that will pave the way for redress to be paid to customers who were mis-sold CPP’s Card Protection -
FCA Board appoints new members to the Regulatory Decisions Committee
The Regulatory Decisions Committee (RDC) is responsible for taking decisions on whether to refuse or grant contested applications into the regulated community and issuing warning and decision notices for certain enforcement ... Read biographies of all -
FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls
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.