Search results

Showing 32 to 41 of 737 search results for FCA fines Barclays.

32. Fines

    Table of fines with links to further information.

33. FCA fines Threadneedle Asset Management Limited £6m

    Press Releases Published: 15/12/2015 Last modified: 15/12/2015
    FCA fines Threadneedle Asset Management Limited £6m. Press Releases First published:. ... FCA fines Threadneedle Asset Management Limited £6m.

34. Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history

    Press Releases Published: 13/10/2023 Last modified: 17/10/2023
    FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US.

35. FCA fines and prohibits trader for market abuse

    Press Releases Published: 04/03/2021 Last modified: 04/03/2021
    The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity.

36. Barclays Wealth/ www.wealth-management-services.com (Clone of FCA Authorised firms)

    Warnings Published: 24/10/2023 Last modified: 15/11/2023
    Barclays Wealth/ www.wealth-management-services.com (Clone of FCA Authorised firms) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing

37. The FCA fines Rabobank £105 million for serious LIBOR-related misconduct

    Press Releases Published: 29/10/2013 Last modified: 29/10/2013
    The FCA fines Rabobank £105 million for serious LIBOR-related misconduct. Press Releases First published:. ... The FCA fines Rabobank £105 million for serious LIBOR-related misconduct.

38. FCA fines Merrill Lynch International £13.2 million for transaction reporting failures

    Press Releases Published: 22/04/2015 Last modified: 22/04/2015
    FCA fines Merrill Lynch International £13.2 million for transaction reporting failures. ... despite substantial FCA guidance to the industry and a poor history of transaction reporting compliance, consisting of a Private Warning issued in 2002 and a

39. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

40. Supervision of UK regulated covered bonds

    Published: 13/05/2016 Last modified: 23/06/2023
    Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing.

41. FCA fines Santander UK £107.7 million for repeated anti-money laundering failures

    Press Releases Published: 09/12/2022 Last modified: 09/12/2022
    The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers. 

42. FCA fines CT Capital Ltd for failures related to PPI complaint handling

    Press Releases Published: 01/06/2016 Last modified: 01/06/2016
    FCA fines CT Capital Ltd for failures related to PPI complaint handling. ... The FCA has an overarching strategic objective of ensuring the relevant markets function well.