We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search

Clear all

Refine your search

Content type

Tags

Author

17 results found

Article

Winston & Strawn LLP | United Kingdom | 6 Jan 2016

The Financial Conduct Authority (FCA) publishes its approach to advancing its objectives

On 16 December 2015, the FCA published general guidance regarding its approach to the advancement of its strategic objective of ensuring that the

Article

Winston & Strawn LLP | United Kingdom | 1 Dec 2015

FCA fines Barclays Bank Plc (Barclays) £72 million for its handling of financial crime risks relating to a £1.88 billion transaction

In a Final Notice issued on 25 November 2015, Barclays was fined £72,069,400 (Stage 1: 30 discount: breach of Principle 2). This fine comprises

Article

Winston & Strawn LLP | United Kingdom | 11 Nov 2015

FCA director of enforcement provides guidance on internal investigations by firms

On 5 November 2015, Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence) at the Financial Conduct Authority

Article

Winston & Strawn LLP | United Kingdom | 29 Oct 2015

Rogue trader banned from financial services industry

On 16 October 2015, the Financial Conduct Authority (FCA) released a Final Notice prohibiting Kweku Adoboli, a former UBS trader, from carrying out

Article

Winston & Strawn LLP | United Kingdom | 1 Oct 2015

The Financial Conduct Authority (FCA) fines and bans former Finance Director

On 21 September 2015, the FCA issued a Final Notice imposing a fine of £350,000 against Mr Craig McNeil, and prohibiting him from performing any

Article

Winston & Strawn LLP | United Kingdom | 1 Oct 2015

FCA and Payment Systems Regulator (PSR) Boards appoint new members to decision-making committees

On 21 September 2015, the FCA announced that the FCA and PSR Boards have appointed new members to decision-making committees relating to regulatory

Article

Winston & Strawn LLP | United Kingdom | 15 Sep 2015

Manager banned by the Financial Conduct Authority (FCA) for misuse of funds

On 10 September 2015, the FCA released a final notice prohibiting Mr Ralph Whittington from performing any regulated activity, and withdrawing his

Article

Winston & Strawn LLP | United Kingdom | 4 Sep 2015

Commencement of consumer redress scheme for card security product holders

On 18 August 2015, the Financial Conduct Authority (FCA) announced the launch of a consumer redress scheme which covers the sales and renewals from

Article

Winston & Strawn LLP | United Kingdom | 18 Aug 2015

Tracey McDermott (director of supervision, investment, wholesale and specialists at the Financial Conduct Authority (“FCA”)) delivers speech on wholesale conduct risk

On 24 July 2015, Ms McDermott delivered a speech at the British Bankers' Association Conference "Wholesale Markets and Risk: FEMR and beyond" in

Article

Winston & Strawn LLP | United Kingdom | 18 Aug 2015

FCA and PRA censure The Co-operative Bank PLC (“Co-op Bank”)

On 11 August 2015, following a joint investigation, the FCA and PRA have censured Co-op Bank. The FCA's Final Notice concluded that the Co-op Bank

Previous page 1 2