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Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit
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 -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
The Financial Conduct Authority (FCA) has today fined Towergate Underwriting Group Limited (Towergate) £2,632,000 for failings in relation to its protection of client and insurer money. ... In February 2016 we took action against another Insurance -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
mainstream propositions and many having very limited experience of standard investments. -
FCA statement on the reporting of derivatives under the UK EMIR regime in a no-deal scenario
This statement explains what Trade Repositories (TRs), and UK counterparties that use them, should do to make sure they are compliant with their EMIR reporting obligations after the UK leaves the EU. -
Consumer Duty implementation: good practice and areas for improvement
What firms are doing well and what they could do better. -
FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls
The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with -
FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies
The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237. -
Consumer redress scheme opens – card security product holders have until March 2016 to claim compensation
reporting the matter, customers were only liable for unauthorised transactions in limited circumstances. ... Lloyds Bank Plc. Northern Bank Limited trading as Danske Bank. Santander UK plc. -
FCA to consult on use of 'side pockets' for retail funds with exposure to sanctioned and suspended Russian assets
The FCA has begun discussions with stakeholders about options to allow UK authorised retail funds to make exceptional use of 'side pockets' given the significant practical challenges in disposing of Russian and Belarussian assets in the context of -
FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings
The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.