Tag: Financial Conduct Authority
London Metal Exchange (LME) Announced Temporary Front Month Lending Rule Due...
London Metal Exchange (LME) Announced Temporary Front Month Lending Rule Due to Large Positions by Market Participants Relative to Stock Levels in Nearby Prompt...
Switzerland FINMA Fines Private Bank Julius Baer $4.7 Million (CHF 4...
Switzerland FINMA Fines Private Bank Julius Baer $4.7 Million (CHF 4 Million) for Money Laundering & Compliance Failures from 2009 to 2019, UK Regulator...
UK Supreme Court Denies Appeal Lawsuit (No Arguable Point of Law)...
UK Supreme Court Denies Appeal Lawsuit (No Arguable Point of Law) by Elliott Associates Against London Metal Exchange for $12 Billion of Cancelled Nickel...
UK FCA Fines London Metal Exchange (LME) $11.9 Million for Failure...
UK FCA Fines London Metal Exchange (LME) $11.9 Million for Failure to Ensure Orderly Trading in Severe Market Stress in 2022 March with LME...
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 Wins UK Court Tribunal to Disallow ex-Barclays...
UK Financial Conduct Authority Wins UK Court Tribunal to Disallow ex-Barclays CEO of Wealth & Investment Thomas Llewellyn Kalaris (1996 to 2014) to be...
UK Financial Conduct Authority to Launch 4 New Sustainability Labels for...
UK Financial Conduct Authority to Launch 4 New Sustainability Labels for Investors to Evaluate ESG Investments, 4 Labels are Sustainability Focus, Sustainability Improvers, Sustainability...
HSBC Private Bank Violated Switzerland Money Laundering Regulations in $300 Million...
HSBC Private Bank Violated Switzerland Money Laundering Regulations in $300 Million Transactions for 2 Politically Exposed Persons Between 2002 to 2015, Failed to Perform...
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
3rd...
UK Financial Conduct Authority Sent Letters to More than 180 Banks...
UK Financial Conduct Authority Sent Letters to More than 180 Banks & 280 Brokers for Non-Financial Misconduct Including Sexual Harassment, Bullying & Discrimination
2nd March...
