FCA bans broker over ‘dishonesty’ and ‘lack of integrity’
- Wednesday, 29 May 2019
- Articles
The FCA has banned a former broker after he “acted dishonestly and lacked integrity” and was deemed “not fit and proper to perform any function in relation to any regulated activity”.
Read more...FCA fines Standard Chartered Bank £102.2m
- Thursday, 11 April 2019
- Articles
The Financial Conduct Authority (FCA) has fined Standard Chartered £102,163,200 for anti-money laundering (AML) breaches in two higher risk areas of its business.
Read more...FCA fines Goldman Sachs £34m over millions of reporting failures
- Thursday, 28 March 2019
- Articles
Goldman Sachs International (GSI) has been fined £34,344,700 by the FCA for failing to provide accurate and timely reporting.
Read more...FCA fines UBS £27.6 million over reporting failures
- Tuesday, 19 March 2019
- Articles
UBS AG (UBS) has been fined £27,599,400 by the FCA for failings relating to transaction reporting.
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