Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 881 to 890 of 1052 search results for Binance Markets Limited.

  1. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

    Press Releases Published: 19/08/2022 Last modified: 19/08/2022
    The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

  2. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

    Press Releases Published: 20/11/2014 Last modified: 20/11/2014
    the IT risk appetite and policy was too limited because it should have had a much greater focus on designing systems to withstand or minimise the effect of a disruptive incident. ... The FCA has an overarching strategic objective of ensuring the relevant

  3. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

    Speeches Published: 14/03/2024 Last modified: 14/03/2024
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

  4. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

    Press Releases Published: 16/08/2013 Last modified: 17/09/2013
    John Leslie, of Battersea, and Jeffrey Bennett, of Harrow, held controlled functions at two London-based financial advisory firms, Leslie & Nuding (now known as Leslie & Swallow) and Burlington Associates Limited (Burlington). ... The FCA has an

  5. Occasional Paper No. 15: Quid pro quo? What factors influence IPO allocations to investors?

    Occasional papers Published: 13/04/2016 Last modified: 18/10/2016
    Research to date into the determinants of IPO allocations has been limited by a lack of relevant data, particularly about the revenues from the buy-side clients of the book-running ... This paper draws on data gathered as part of the FCA’s market study

  6. Overall complaints fall by 2.1% but banking and credit card complaints increase

    Press Releases Published: 30/09/2015 Last modified: 07/02/2022
    The latest complaints data published by the Financial Conduct Authority (FCA) shows financial services firms received 2,138,209 new complaints between January and June 2015.

  7. Defined contribution workplace pensions: The audit of charges and benefits in legacy schemes

    Press Releases Published: 17/12/2014 Last modified: 17/12/2014
    The audit follows from the Office of Fair Trading's September 2013 study of the DC workplace pensions market. ... Joanne Segars, Chief Executive, National Association of Pension Funds Limited. David Hare, Immediate Past President, Institute and Faculty

  8. Information on monthly cyber incidents for fund administration firms - August 2022

    FOI Release Date of Release: 04/08/2022
    The FCA provides information on cyber incidents for firms that provide administration services to fund management companies.

  9. From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit

    Speeches Published: 29/11/2022 Last modified: 08/01/2024
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry.

  10. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.
Related topics