Tag: FCA
FCA fines GT Bank £7.8m for AML failures
The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank £7.8m for serious deficiencies in its AML systems and controls.
UK regulators hit TSB with £48.6m fine
The Financial Conduct Authority (FCA) and the Prudential Regulatory Authority (PRA) has slapped TSB with two fines for operational resiliency failures.
FCA sets out plans to improve retail investor information
The Financial Conduct Authority has revealed it is seeking views on how to ensure retail investors can get more clear, helpful information.
FCA slaps Metro Bank with £10m fine
The Financial Conduct Authority (FCA) has fined Metro Bank £10m for breaching the listing rules by publishing incorrect information to investors.
FCA slaps BGC/GFI with £4.8m penalty
The Financial Conduct Authority (FCA) has fined BGC Brokers, GFI Brokers and GFI Securities – together BGC/GFI - £4.8m for market abuse failings.
FCA outlines plans to strengthen pension engagement
The FCA has published a consultation on standards for operators of pension dashboards as well as setting out non-workplace pensions requirements.
FCA hits Julius Baer International with £18m fine
The Financial Conduct Authority (FCA) has slapped Julius Baer International, an investment advisory and wealth manager, with an £18m penalty.
FCA to create a simplified financial advice regime
The Financial Conduct Authority (FCA) has set out new proposals to improve people’s access to financial advice so they can ‘invest with confidence’.
FCA forms group to develop ESG Code of Conduct
The Financial Conduct Authority (FCA) has formed a group to develop a Code of Conduct for ESG data and ratings providers.
FCA urged to better regulate philanthropy advice
The Law Family Commission on Civil Society has called for the UK’s Financial Conduct Authority (FCA) to make philanthropy advice training mandatory for financial advisors.
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