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Showing 341 to 350 of 13446 search results for FCA regulated entity.

  1. FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules

    Press Releases Published: 15/04/2015 Last modified: 15/04/2015
    Georgina Philippou, acting director of enforcement and market oversight at the FCA said:. ... The FCA also found a number of other failings by the Firms including:.

  2. Raedex Consortium Limited and Buy 2 Let Cars Ltd enter administration

    News stories Published: 16/03/2021 Last modified: 10/11/2021
    On 19 February 2021 the FCA imposed a number of restrictions on Raedex Consortium Ltd stopping it from carrying on any regulated activities due to concerns about the way it conducts its business.

  3. Interest rate benchmark reform: transition to a world without LIBOR

    Speeches Published: 12/07/2018 Last modified: 12/07/2018
    Andrew Bailey, chief executive of the FCA, on transitioning from LIBOR to alternative interest rate benchmarks.

  4. Improper delegation of authorised activities - a notice for financial adviser firms and their advisers

    Multi-firm reviews Published: 30/11/2015 Last modified: 18/05/2017
    Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of

  5. FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB

    Press Releases Published: 22/10/2020 Last modified: 23/10/2020
    FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB)

  6. Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit

    Press Releases Published: 25/02/2019 Last modified: 25/02/2019
    Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential

  7. Equity-Broker / equity-broker.io / Equity-Holdings (clone of FCA Authorised firm)

    Warnings Published: 12/05/2021 Last modified: 27/07/2021
    Equity-Broker / equity-broker.io / Equity-Holdings (clone of FCA Authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with

  8. Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators

    News stories Published: 02/08/2016 Last modified: 12/03/2024
    This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms.

  9. FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case

    Press Releases Published: 18/03/2024 Last modified: 18/03/2024
    Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised.

  10. Bank of England, FCA, PRA and PSR conduct review of Memorandum of Understanding in relation to payment systems in the UK

    Statements Published: 20/07/2018 Last modified: 20/07/2018
    Bank of England, FCA, PRA and PSR conduct review of Memorandum of Understanding in relation to payment systems in the UK. ... The Authorities committed that this review would include feedback from regulated entities, and that a summary of the review’s