Cum-ex: FCA fines broker over trading violations
The Financial Conduct Authority (FCA) has fined broker Arian Financial £288,962 over cum-ex trading violations, after it ...
Crowdfund Insider2d
FCA fines Arian Financial LLP £288,962.53 for failings relating to cum-ex trading
The FCA has fined Arian Financial LLP (Arian) £288,962.53 for failing to ensure it had effective systems and controls against ...
Financial Reporter2d
FCA fines broker £289,000 for financial crime failures
The FCA has fined interdealer broker Arian Financial £288,962.53 for failing to ensure it had effective systems and controls ...
Money Marketing26d
FCA seeks to ban and fine two advisers for pension transfer failings
The Financial Conduct Authority has provisionally fined and ... This resulted in Dunne not knowing where her clients’ money was going when advising on the transfer, “leaving customers exposed ...
FTAdviser27d
FCA looks to ban pair for ‘flawed’ pension transfer advice model
The FCA is looking to fine Fenech and Dunne £270,646 and £ ... The FCA said this meant Dunne did not know where her clients’ money was going after advising the transfer. Under the model ...
Autoblog5y
Fiat Chrysler joins open pool with Tesla to avoid paying EU emissions fines
FCA will reportedly pay Tesla 'hundreds of millions of euros.' It's not clear exactly how much money FCA will pay Tesla through this arrangement, but similar deals have been part of Tesla's ...
ITV1mon
MPs back campaign by Bolton company for FCA fines to go toward supporting struggling Hospices
A non-profit company from Bolton has handed in a petition to 10 Downing Street calling for £100m from fines levied by the ... spokesperson said that money from FCA fines already go straight ...