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Jessica Tillipman Senior Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

Russell A. Stamets Contributing Editor

Richard Bistrong Contributing Editor 

Eric Carlson Contributing Editor

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FCPA Blog Daily News

Entries in Financial Conduct Authority (33)

Wednesday
Dec062017

UK fines former AXA insurance broker for false independence claims

A broker formerly owned by the insurer AXA UK Plc was fined Wednesday for failing to disclose that it wasn't independent but instead had a business strategy to sell AXA products.

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Friday
Oct132017

UK enforcement: FCA bans husband and wife for hiding offshore cash

A husband and wife lied to authorities to conceal assets from a bankruptcy trustee after their financial advisory firm went bust and caused nearly £4 million ($5.25 million) in losses to customers.

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Friday
Aug252017

UK regulator rejects experienced compliance officer for ‘competence concerns’

The Financial Conduct Authority refused to approve a compliance officer for an online trader despite almost 20 years of prior experience.

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Thursday
Jun222017

UK enforcement: Charging Barclays is a good first step to ending corporate impunity

Until the SFO announced its charges against Barclays, not a single UK bank or individual had faced criminal prosecution for their role in the financial crisis of 2008.

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Tuesday
Jun202017

UK charges Barclays, four former executives for Qatar fund raising

The UK Serious Fraud Office brought criminal charges Tuesday against Barclays Plc and four individuals for offenses allegedly committed when the bank sought huge loans from sources in Qatar during the 2008 financial crisis.

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Thursday
Jun082017

Former UBS compliance officer charged with insider trading

Britain's market regulator charged a former UBS Group AG compliance officer with five counts of insider trading.

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Monday
Dec122016

DOJ creates new job in London at SFO, FCA

The DOJ said Friday it has created a new position for a lawyer who'll be seconded to the UK for two years to collaborate on financial fraud and foreign bribery cases.

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Thursday
Oct132016

UK punishes Sonali Bank and its ‘unsupported and overworked’ ex-compliance officer

The UK Financial Conduct Authority Wednesday sanctioned Sonali Bank (UK) Limited and its former compliance officer after years of serious anti-money laundering system failures.

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Thursday
Aug182016

This Morgan Stanley isn't the Morgan Stanley you think it is

The UK Financial Conduct Authority issued a warning Monday about a cloned firm using Morgan Stanley's name and London address to take money from victims.

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Friday
Jun242016

Brexit: What happens to UK financial regulations?

The job of the UK's top financial regulator includes enforcing requirements to designate compliance officers with defined professional roles and duties.

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Tuesday
May102016

Panama Papers: RBS, NatWest disclose FCA inquiry

Two related UK banks said in separate U.S. securities filings that the UK's top financial regulator has asked for information about any relationship the banks had with the Panama law firm at the center of the Panama Papers leak or with any individuals named in media coverage about the story.

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Monday
Mar072016

UK bans former Deutsche Bank trader for LIBOR fraud

The UK Financial Conduct Authority Wednesday banned a former trader at Deutsche Bank AG from the UK financial services industry for "lacking honesty and integrity" following his guilty plea for fraud in the United States.

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