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Showing 2121 to 2130 of 2139 search results for final notice refers to breaches.
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Cryptoasset AML / CTF regime: feedback on good and poor quality applications
Feedback on good and poor quality applications made to the FCA under money laundering regulations. -
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
This is compounded by the fact that the breaches took place at a time when there was considerable stress in the market. ... The final notice for The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd. -
The FCA’s new competition powers: what do they mean for the financial services industry?
Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Business Plan 2023/24
The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy. -
Barclays fined £38 million for putting £16.5 billion of client assets at risk
This is the highest fine ever imposed by the FCA or its predecessor the FSA for client assets breaches, reflecting ‘significant weaknesses’ in the systems and controls in Barclays’ Investment Banking ... The Final Notice for Barclays Bank Plc. -
Primary Market Bulletin 33
Welcome to the 33rd edition of the Primary Market Bulletin (PMB). -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
The Final Notice for Deutsche Bank. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate. -
How implementing the Mortgage Market Review will shape the new market
Speech by Linda Woodall, Director of Mortgages and Consumer Lending, the FCA, at the Financial Services Expo, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Royal Bank of Scotland fined £5.6m for failing to properly report over a third of transactions
The Royal Bank of Scotland (RBS) has been fined £5,620,300 by the Financial Conduct Authority (FCA) for incorrectly reporting transactions they made in wholesale markets, and in some instances, failing to report transactions at all.