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Showing 1101 to 1110 of 1264 search results for Firm specific complaints data.

  1. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

    Press Releases Published: 09/04/2019 Last modified: 09/04/2019
    The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML

  2. 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
    The Custody Rules require firms to keep entity-specific records and accounts. ... failing to implement CASS-specific governance arrangements that were sufficient given the nature of the Firms’ business and their failure to identify and remedy the

  3. Consumer credit firms must raise advertising standards, says FCA

    Press Releases Published: 16/05/2014 Last modified: 22/05/2014
    Consumer credit firms must raise advertising standards, says FCA. Press Releases First published:. ... Firms have responded well when challenged about ads which have not met the standards.

  4. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

    Statements Published: 27/01/2016 Last modified: 26/05/2016
    It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear

  5. A helping hand for the invisible hand: the FCA’s approach to competition and innovation

    Speeches Published: 11/06/2018 Last modified: 11/06/2018
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Competition Policy 2018: The relationship between antitrust, innovation and investment, Chatham House, London.

  6. FCA says firms not treating delegated authority arrangements as outsourcing in the general insurance market

    Press Releases Published: 02/06/2015 Last modified: 04/06/2015
    FCA says firms not treating delegated authority arrangements as outsourcing in the general insurance market. ... The FCA will be discussing its findings with the industry and relevant trade bodies and will follow up with individual firms to address

  7. Information on Investment firms and their transaction reporting quality - August 2020

    FOI Release Date of Release: 07/08/2020
    FCA provides information on Investment firms and their transaction reporting quality.

  8. Consumer Investments Strategy - 2 Year Update

    Corporate documents Published: 08/12/2023 Last modified: 13/05/2024
    The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.

  9. FCA bans and fines trader £662,700 for manipulating gilt price during QE

    Press Releases Published: 20/03/2014 Last modified: 01/04/2014
    Specific gilts are described with reference to the interest they pay (coupon) and their maturity. ... During QE the Bank purchased specified gilts from key firms through a competitive reverse auction.

  10. FCA highlights concerns when credit firms allow repeat borrowing

    Press Releases Published: 06/08/2020 Last modified: 07/08/2020
    The FCA has today published the findings of a review into relending by firms that offer high-cost credit.