News results for Financial Conduct Authority

Legal
29 August 2014

Deutsche Bank Fined £4.7 Million For Reporting Errors

Deutsche Bank AG London Branch has been fined £4.71 million by the UK’s Financial Conduct...

Compliance
14 August 2014

UK Regulator Not Entirely Happy About Firms' Observance Of Advertising Rules

Promotions for financial products are still falling short of rules to protect consumers and firms...

Surveys
11 August 2014

FCA Clamps Down On Market Abuse; Fines Top £340 Million

The Financial Conduct Authority fined firms and individuals a total of £346 million ($571 million)...

Fund Management
6 August 2014

FCA Says CoCos Are A No-No For UK Retail Investors

The Financial Conduct Authority has banned the selling of high yield bonds named contingent...

Compliance
24 July 2014

FCA Slaps Recruitment Ban On The Financial Group

The Financial Conduct Authority (FCA) has placed a recruitment ban on two of The Financial...

Legal
23 July 2014

UK Regulator Launches Criminal Prosecution Against Former Forex Trader

The UK’s Financial conduct Authority has launched a criminal prosecution against a former foreign...

Compliance
17 July 2014

BNY Mellon Receives AIFMD Approval From Regulator

The Financial Conduct Authority has granted BNY Mellon’s request to operate under the Alternative...

Financial Results
14 July 2014

FCA Collects £425 Million In Fines; Posts £29.3 Million Annual Loss

In its first annual report since it replaced the Financial Services Authority last year, the UK...

Strategy
14 July 2014

Alter Domus Unveils New Depositary Service

Alter Domus, a Luxembourg-headquartered provider of funds and corporate services, has been...

Banking Crisis
11 July 2014

Firms Fall Way Short On Dealing Commission Conduct - FCA Review

A damning report by the Financial Conduct Authority has found widespread failings by investment...

Comment & Analysis results for Financial Conduct Authority