Tag: UK FCA
UK FCA Fines Mako Financial Markets Partnership $2 Million for Failures...
UK FCA Fines Mako Financial Markets Partnership $2 Million for Failures Against Financial Crime Relating to Cum-Ex Trading (Withholding Tax Claims), Received £1.45 Million...
UK FCA Investigates Barclays for Anti-Money Laundering & Financial Crimes Controls...
UK FCA Investigates Barclays for Anti-Money Laundering & Financial Crimes Controls with Barclays Cooperating with Investigation, UK FCA Fined Barclays $50 Million in 2024...
UK FCA Intervened in 19,766 Financial Advertisements & Promotions with 9,197...
UK FCA Intervened in 19,766 Financial Advertisements & Promotions with 9,197 Withdrawals in 2024 with Key Concerns on Crypto, Debt Solutions & Claims Management...
UK FCA Pays Blackmore Mini-Bonds Investors £150 to £250 ($185 to...
UK FCA Pays Blackmore Mini-Bonds Investors £150 to £250 ($185 to $310) Each for Delay in Responding to Financial Losses Complaints on Blackmore Bonds,...
UK FCA Secures $7.3 Million Confiscation UK Court Order Against Convicted...
UK FCA Secures $7.3 Million Confiscation UK Court Order Against Convicted Guy Flintham in $23 Million Fraudulent Investment Scheme with Over 240 Investors, Sentenced...
UK Financial Conduct Authority Issues Apology & Compensation for Error to...
UK Financial Conduct Authority Issues Apology & Compensation for Error to Investors on Peer-to-Peer Platform Collateral for Incorrect Registration after 2014 and Delay in...
UK Financial Conduct Authority Fines Macquarie Bank $16 Million for Internal...
UK Financial Conduct Authority Fines Macquarie Bank $16 Million for Internal Control Failures Allowing Junior Trader Travis Klein to Record & Conceal 400 Fictitious...
UK Financial Conduct Authority Fines Barclays $50 Million for Failure &...
UK Financial Conduct Authority Fines Barclays $50 Million for Failure & Lacking Integrity to Disclose to Shareholders Material Arrangements with Qatar Entities in 2008,...
UK FCA Announces New Measures for Bond, Derivatives & Asset Management:...
UK FCA Announces New Measures for Bond, Derivatives & Asset Management: Allows Institutional Investors More Flexibility to Pay for Investment Research, New Transparency Rules...
UK FCA Fines Fintech Wise CEO Kristo Kaarmann $452,000 for Failure...
UK FCA Fines Fintech Wise CEO Kristo Kaarmann $452,000 for Failure to Notify Tax Authority of Capital Gains Tax Liability After Selling £10 Million...
