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Showing 212 to 220 of 220 search results for Enforcement investigations and the Senior Managers Regime.

  1. 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.

  2. FCA response to the independent panels’ annual reports

    Corporate documents Published: 01/02/2024 Last modified: 07/02/2024
    In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports.

  3. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

    Press Releases Published: 15/05/2014 Last modified: 22/03/2016
    Tracey McDermott, director of enforcement and financial crime, said:. “Interdealer brokers are expected to act as trusted intermediaries and are key conduits of market information. ... Two brokers (including one manager) were central to the collusion,

  4. FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals

    Press Releases Published: 30/11/2022 Last modified: 28/09/2023
    We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA.

  5. TR14/16 – How small banks manage money laundering and sanctions risk: update

    Thematic reviews Published: 14/11/2014 Last modified: 25/11/2021
    This report follows the Financial Services Authority’s 2011 report on Bank’s management of high money-laundering risk situations (the 2011 AML review) and the subsequent enforcement action and regulatory guidance.

  6. Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine

    Good and poor practice Published: 06/09/2023 Last modified: 20/03/2024
    We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions.

  7. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    The fine is so large because Deutsche Bank also misled the regulator, which could have hampered its investigation. ... Deutsche Bank settled at an early stage of the investigation, qualifying for a 30% discount on its fine.

  8. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

    Press Releases Published: 24/02/2015 Last modified: 24/02/2015
    Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said:. ... Ensuring that conflicts of interest are properly managed is central to the relationship of trust that must exist between asset managers and their customers.

  9. Regulated financial advice firms and individuals that attempt to avoid their redress liabilities

    Tasks for regulated firms Published: 14/12/2018 Last modified: 13/02/2023
    The FCA provides information to regulated financial advice firms

  10. 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.