Showing 161 to 170 of 769 search results for enforcement.

161. Statement on supervision of commodity derivatives position limits

     Statements Published: 20/12/2021 Last modified: 20/12/2021
     In December 2020, we published a Supervisory Statement setting out our approach to operating the MiFID markets regime after the end of the EU withdrawal transition period.

162. FCA fines HSBC Bank plc £63.9 million for deficient transaction monitoring controls

     Press Releases Published: 17/12/2021 Last modified: 06/05/2022
     We have fined HSBC Bank plc (HSBC) £63,946,800 for failings in its anti-money laundering processes.

163. FCA publishes warning notice statements for GAM International Management and Timothy Haywood

     Press Releases Published: 16/12/2021 Last modified: 16/12/2021
     The Financial Conduct Authority (FCA) has fined GAM international Management Limited £9.1m and Timothy Hayward £230,037 for conflicts of interest and gifts & entertainment matters.

164. NatWest fined £264.8 million for anti-money laundering failures

     Press Releases Published: 13/12/2021 Last modified: 13/12/2021
     National Westminster Bank Plc fined £264,772,619.95 following convictions for three offences of failing to comply with money laundering regulations.

165. FCA turns to science and music to protect public from loan fee fraud this Christmas

     Consumers Scams Press Releases Published: 09/12/2021 Last modified: 09/12/2021
     The FCA has launched the UK’s first official anti-fraud jingle in a bid to protect consumers against loan fee fraud over the Christmas period.

166. 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

167. 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.

168. Investment Firms Prudential Regime final rules published

     News stories Published: 22/10/2021 Last modified: 22/10/2021
     We have made final rules to streamline and simplify prudential requirements for solo-regulated UK firms authorised under MiFID.

169. Latest FCA perimeter report calls for legislative change to protect consumers

     Press Releases Published: 21/10/2021 Last modified: 21/10/2021
     In the 2020/21 Perimeter Report, the FCA has called for legislative change to address concerns beyond its remit.

170. Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt

     Press Releases Published: 19/10/2021 Last modified: 22/10/2021
     The Financial Conduct Authority has fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. These loans and a bond