Tag: FCA)
UK Regulator FCA Requires Firms to Have Right Expertise to Check...
UK Regulator FCA Requires Firms to Have Right Expertise to Check & Approve Financial Promotions & Advertisements, Strengthen Rules on Misleading Advertisements & High-Risk...
UK Regulator FCA Fines Julius Baer $21 Million for Improper Introducer...
UK Regulator FCA Fines Julius Baer $21 Million for Improper Introducer Fee Arrangement with Higher FX Transaction Fees & $3 Million Paid to Introducer,...
UK Regulator FCA Warned Stock Trading Apps of Gamification Features, Frequent...
UK Regulator FCA Warned Stock Trading Apps of Gamification Features, Frequent Notifications of Market News, Points, Badges & Celebratory Messages to Promote Gambling-Like Investor...
UK Authorities Expected to Scrutinise Asset Managers on ESG Claims &...
UK Authorities Expected to Scrutinise Asset Managers on ESG Claims & Greenwashing, After BNY Mellon & DWS Fines & Investigations
10th June 2022 | Hong...
UK Financial Authority Fines GAM Investments $12 Million for Failure to...
UK Financial Authority Fines GAM Investments $12 Million for Failure to Manage Conflict of Interests with Greensill, Business Head Travelled on Greensill Private Jet...
UK Financial Authority Proposes Compensation for British Steel Pension Fund, 46%...
UK Financial Authority Proposes Compensation for British Steel Pension Fund, 46% Had Received Unsuitable Advice
1st April 2022 | Hong Kong
The United Kingdom Financial Conduct...
HSBC Fined $85 Million for Failure in Anti-Money Laundering Processes
HSBC Fined $85 Million for Failure in Anti-Money Laundering Processes
24th December 2021 | Hong Kong
HSBC has been fined $85 million (GBP 63.9 million) for...
ICAM & Bloomberg Report: 560 Issuances Totalling $190 billion Outstanding in...
ICAM & Bloomberg Report: 560 Issuances Totalling $190 billion Outstanding in LIBOR-linked Bonds in APAC at Risk
1st June 2021 | Hong Kong
ICAM and Bloomberg...
