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State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings
Tracey McDermott, director of enforcement and financial crime, said:. “The findings we publish today are another example of a firm that has acted with complete disregard for the interests of its -
Adviser banned and fined for fabricating RDR qualification certificates
Tracey McDermott, director of enforcement and financial crime at the FCA, said:. -
FCA bans former BGC senior executive Anthony Verrier
Tracey McDermott, the FCA's director of enforcement and financial crime, said:. -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs). -
FCA Board appoints three new members to the Regulatory Decisions Committee
The Regulatory Decisions Committee (RDC) is responsible for taking decisions on whether to refuse or grant contested applications into the regulated community, and issuing warning and decision notices for certain enforcement -
Statement on Co-operative Bank enforcement investigation
Statement on Co-operative Bank enforcement investigation. Statements First published:. 06/01/2014. Last updated: 06/01/2014. ... The Financial Conduct Authority (FCA) has confirmed it will be undertaking enforcement investigations into events at the -
2014 fines
This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800. -
Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments
Tracey McDermott, the FCA's director of enforcement and financial crime said:. ... Firms cannot be complacent about their controls – when we take enforcement action we expect the industry to sit up and take notice.". -
Tribunal bans former trader for lying to the FCA and the Tribunal
Tracey McDermott, Director of Enforcement and Financial Crime, said:. “Hobbs misled the FCA during its investigation. -
FCA bans four for 'disgraceful' failings in relation to occupational pension schemes
Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics