Financial Conduct Authority (FCA)
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Apr- 2021 -20 AprilPeople Moves
Financial Ombudsman Service appoints interim chief executive
The Financial Ombudsman Service (FOS) has announced the appointment of Nausicaa Delfas as its new interim chief executive and chief…
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Mar- 2021 -29 MarchRegulators
FCA publishes Decision Notice for misconduct against financial advisor
The Financial Conduct Authority (FCA) has published a Decision Notice regarding Jon Frensham of Frensham Wealth Limited.
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11 MarchTech
54% of financial institutions say LIBOR transition delayed by Covid
Over half of financial institutions have admitted the transition from the LIBOR interest rate-setting mechanism has been delayed by the…
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Feb- 2021 -24 FebruaryRegulators
FCA publishes guidance on treatment of vulnerable customers
The Financial Conduct Authority (FCA) has published guidance for firms regarding the fair treatment of vulnerable customers.
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Apr- 2019 -10 AprilBusiness Regulation
FCA fines Standard Chartered Bank £102.2m for poor AML control
The Financial Conduct Authority (FCA) has fined Standard Chartered Bank £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk…
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Mar- 2019 -29 MarchBusiness Regulation
Goldman Sachs International fined £34.3m for reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and…
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20 MarchBusiness Regulation
FCA fines UBS £27.6m for transaction reporting failure
Investment banking company UBS has been fined by the Financial Conduct Authority (FCA) for not providing complete and accurate information…
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