Search results
Showing 3271 to 3280 of 3286 search results for This Final Notice refers.
-
FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers. The failings were serious -
FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately -
FG18/7: Fairness of variation terms in financial services consumer contracts under the Consumer Rights Act 2015
We are consulting on changes to the Financial Crime Guide for firms, proposing to add a chapter on insider dealing and market manipulation and make miscellaneous changes as a result of recent regulatory changes to ensure the guide remains up to date. -
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. -
FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings
The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls. -
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 -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
Final notice for Forex Capital Markets Limited (“FXCM Ltd”), FXCM Securities Limited (“FXCM Securities”). ... This means end-clients rely heavily on the price quoted by the counterparty acting on their behalf. -
FCA fines Guaranty Trust Bank (UK) Limited £7.6 million for further failures in its anti-money laundering systems and controls
The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 and July 2019. -
The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices
Appointed representatives (ARs) are individuals or firms that carry out regulated activities under the oversight of a regulated Principal (in this case, Porta Verde), which is directly authorised by the FCA ... The agent misled the carer, stating "I