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Investigation opening criteria
Factors we consider when deciding to open an investigation, including how we assess serious misconduct. -
The supervision of sponsors
Our supervision of sponsors is distinct from our supervision of authorised firms. We focus on ensuring sponsors fulfil their responsibilities under the listing regime. -
FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence -
Deutsche Bank fined £4.7m for failing to properly report transactions
The failure, which affected all Deutsche’s Equity Swap CFD transaction reports in this period, breaches FCA rules on transaction reporting. ... The final notice for Deutsche Bank AG. -
FCA fines LJ Financial Planning Ltd £107,200
Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest. -
General insurance pricing attestation multi-firm review
Assessing how firms satisfied themselves that they do not systematically discriminate against motor and home insurance customers based on the number of years they have held their policy, including any renewal (tenure). -
FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in -
Primary Market Bulletin 49
This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report -
FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers
This was a deliberate breach of the agreement between Burlington and its principal firm. -
Tribunal upholds FCA ban and significant fine on insurance broker
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for