Showing 1 to 10 of 57 search results for Enforcement Guide.

1. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

   Press Releases Published: 13/07/2023 Last modified: 13/07/2023
   The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

2. FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims

   Press Releases Published: 05/06/2023 Last modified: 05/06/2023
   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

3. TSB fined £48.65m for operational resilience failings

   Press Releases Published: 20/12/2022 Last modified: 20/12/2022
   The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have fined TSB Bank plc (“TSB”) a total of £48,650,000 for operational risk management and governance failures, including management of outsourcing risks,

4. FCA statement regarding potential enforcement action against Link Fund Solutions Ltd

   Statements Published: 21/09/2022 Last modified: 21/09/2022
   This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange.

5. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

   Press Releases Published: 26/08/2022 Last modified: 26/08/2022
   PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

6. FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading

   Press Releases Published: 15/07/2022 Last modified: 15/07/2022
   The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case

7. FCA strengthens consumer protection by speeding up removal of firms that do not use their regulatory permission

   Press Releases Published: 19/05/2022 Last modified: 19/05/2022
   Businesses are required to prove they are carrying out the regulated activities they are permitted to or face losing this permission

8. New financial sanctions measures in relation to Russia

   Statements Published: 22/02/2022 Last modified: 28/03/2022
   Following the Prime Minister’s statement to the House of Commons on 22 February 2022, the UK has announced a tranche of sanctions on Russia.

9. FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading

   Press Releases Published: 12/11/2021 Last modified: 12/11/2021
   Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls

10. FCA acts to help investors make more informed ESG investment decisions

    Press Releases Published: 03/11/2021 Last modified: 03/11/2021
    The FCA is committed to helping investors put Environmental, Social and Governance (ESG) matters at the heart of their investment decisions.