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Showing 741 to 747 of 747 search results for reasons set out in this Final Notice.

  1. FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls

    Press Releases Published: 24/04/2013 Last modified: 29/11/2021
    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

  2. Consumer investments data review April - September 2021

    Data Published: 03/03/2022 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021.

  3. Making competition king – the rise of behavioural economics at the FCA

    Speeches Published: 25/03/2014 Last modified: 25/03/2014
    Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version.

  4. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

    Press Releases Published: 09/02/2016 Last modified: 09/02/2016
    On 10 April 2012, Mr Macris took part in a telephone call with the Authority which was set up to try to correct any inaccurate impression that may have been given ... Although settlement in this case was reached during Stage 2 which would usually lead to

  5. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

    Press Releases Published: 05/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).

  6. 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
    As a result of this, the Firms are systemically important to the UK market. ... The final notice for The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd.

  7. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

    Speeches Published: 14/11/2014 Last modified: 20/10/2015
    For policy makers, this is important for two reasons. First because it has the potential to materially improve consumer outcomes. ... This, in turn of course, allows you to narrow down policy options more effectively and set a more authoritative cap level