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21 results found

Article

Mishcon de Reya LLP | United Kingdom | 9 May 2019

Tribunal's first decision in an FRA case

In the first ever Focused Resolution Agreement (FRA) case to come before the Upper Tribunal, the Tribunal refused to reduce the penalty that had been

Article

Mishcon de Reya LLP | United Kingdom | 1 Oct 2018

FCA Sanction for Market Abuse Prevention Systems and Controls Failures

The FCA has fined Linear Investments Limited ("Linear") for failings in its risk management systems in relation to the detection and reporting of

Article

Mishcon de Reya LLP | United Kingdom | 24 Jul 2018

19 July 2018: The FCA's Enforcement annual performance report 1718

The FCA has published its annual performance report. As ever, this gives an interesting (if high-level) insight into the performance of the

Article

Mishcon de Reya LLP | United Kingdom | 23 Jul 2018

The Financial Conduct Authority has published its annual anti-money laundering report for 20172018. What are the likely implications for future enforcement?

The year's biggest development was the introduction of new Money Laundering Regulations on 26 June 2017 to implement the EU's fourth money laundering

Article

Mishcon de Reya LLP | United Kingdom | 25 Jun 2018

Upper Tribunal dismiss challenge to prohibition in case of Arif Hussein

Arif Hussein was a derivatives trader at UBS. In a Decision Notice dated 22 January 2016 the FCA's Regulatory Decisions Committee (RDC) determined

Article

Mishcon de Reya LLP | United Kingdom | 7 Jun 2018

The Financial Conduct Authority fines Canara Bank for anti-money laundering control failures

The FCA has fined Canara Bank £896,100 for anti-money laundering systems failures and has imposed a restriction preventing it from accepting deposits

Article

Mishcon de Reya LLP | United Kingdom | 15 May 2018

PRA and FCA Fine Barclays CEO Jes Staley Over Handling Of Whistleblowing

Following a joint FCA and PRA investigation Mr James Staley the CEO of Barclays Group has been fined a total of £642,430 for failing to act with due

Article

Mishcon de Reya LLP | United Kingdom | 16 Apr 2018

What the FCA's Business Plan tells us about Enforcement in the coming year

The FCA has recently published its Business Plan 201819, which sets out its priorities for the coming year. In analysing this, a number of column

Article

Mishcon de Reya LLP | United Kingdom | 22 Mar 2018

The FCA's Enforcement Mission

As part of the wider articulation of its mission, the FCA has published a document outlining its approach to Enforcement. Whilst there is very little

Article

Mishcon de Reya LLP | United Kingdom | 6 Mar 2018

FCA fines Vanquis Bank £1.97m and orders substantial restitution, in respect of sales calls practice.

The FCA has fined Vanquis Bank ("Vanquis"), £1.97m (including a stage 1 settlement discount of 30) and required it to pay restitution to clients

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