Enforcement Actions
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Financial Crime
Barclays faces second financial crime investigation in three years
Barclays is facing its second financial crime investigation in the UK in three years, the bank has revealed in its...
UK Regulation
FCA pulled 95 PSP authorisations, opened 9 enforcements
The UK’s Financial Conduct Authority (FCA) pulled permissions or revoked authorisations for 95 payment services providers (PSP) in 2024, according...
Enforcement Actions
FCA’s enforcement focus on fincrime, consumers will continue
Pensions mis-selling, financial crime systems and control failings, and mistreatment of vulnerable customers were again key themes behind fines issued...
Enforcement Actions
Four banks account for over half of $2.2bn fines for systems and controls failings
Four banks account for over half of the some $2.2. billion in fines US financial services regulators meted out to...
Enforcement Actions
US regulators fine security companies for cyber, data and privacy breaches
US regulators have doled out some hefty fines to security companies for cyber and data security failures and privacy breaches....
Enforcement Actions
Luxembourg’s CSSF issues first-of-its-kind ESG fine to Aviva Investors
Luxembourg’s financial regulator, the Commission de Surveillance du Secteur Financier (CSSF), has fined Aviva Investors Luxembourg 56,500 euros after an...
Regulatory Reform
UK FCA to change plan to name firms under enforcement investigation
The Financial Conduct Authority (FCA) has confirmed it is reformulating its plans to announce the names of firms it has...
Enforcement Actions
Get in line: Three-year wait to appeal FCA bans and fines
Senior managers seeking to appeal bans and fines imposed by the Financial Conduct Authority (FCA) are waiting up to three...
