Tag: UK FCA
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...
UK FCA Fines TSB Bank $14.2 Million for Unfairly Treating Clients...
UK FCA Fines TSB Bank $14.2 Million for Unfairly Treating Clients Who are in Arrears for Mortgage, Overdraft, Credit Card & Loans from 2014...
UK FCA Independent Director Review Clears Possible Whistleblowers Protection Wrongdoings by...
UK FCA Independent Director Review Clears Possible Whistleblowers Protection Wrongdoings by Chair Ashley Alder, Accused of Revealing Whistleblower Identity by Forwarding Correspondence (Opaque Hiring...
UK FCA Chair Ashley Alder Accused of Revealing Whistleblower Identity by...
UK FCA Chair Ashley Alder Accused of Revealing Whistleblower Identity by Forwarding Correspondence (Opaque Hiring Practices) with Name & Address, Whistleblower Fired from UK...
UK Financial Conduct Authority Launches New Simplified Listings Regime for Companies...
UK Financial Conduct Authority Launches New Simplified Listings Regime for Companies Effective 29th July 2024, Removed Requirement for Voting on Significant Transactions or Related...
UK Financial Conduct Authority Anti-Greenwashing Rule Effective on 31st May 2024,...
UK Financial Conduct Authority Anti-Greenwashing Rule Effective on 31st May 2024, New Rule Protects Investors by Ensuring Sustainable Products & Services are Sold Accurately
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