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Showing 202 to 211 of 220 search results for Enforcement investigations and the Senior Managers Regime.
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Should you invest?
Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension. -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
Our enforcement actions are an important source of information to help them do this.”. ... manipulation, including one manager who was also involved in the Repo Rate misconduct. -
The FCA’s Business Plan and Priorities
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester -
FCA fines Barclays £72 million for poor handling of financial crime risks
The FCA specifically found that Barclays:. senior management at the relevant time failed to oversee adequately Barclays’ handling of the financial crime risks associated with the Business Relationship and that it ... was unclear which senior managers -
Andrew Bailey speech at press conference for the publication of FCA corporate documents
Speech by Andrew Bailey, Chief Executive of the FCA, at the press conference for the publication of FCA corporate documents. -
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. -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
Although senior managers of the FXCM Group sat on the Board of FXCM UK and knew about the investigation, FXCM UK failed to alert the FCA. ... Without the discount, the total fine would have been £5,000,000. This enforcement action is unrelated the -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry. -
State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings
State Street UK agreed to settle at an early stage of the FCA’s investigation and has therefore qualified for a 30% discount. ... A transition manager can charge fees and generate revenue in a number of different ways. -
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).