Amigo, FCA, FCA fine
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The FCA has publicly censured Amigo Loans Ltd for failing to conduct adequate affordability checks on borrowers and guarantors.
FCA, FCA fine, Julius Baer
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The FCA has fined Julius Baer International Limited (JBI) £18,022,500 for failing to conduct its business with integrity.
Credit Suisse, FCA fine, Mozambique loan affair, NYSE:CS, VTB Capital
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Credit Suisse and VTB Capital failed to disclose the true nature of Mozambique’s debt and the high risk of default.
cold calling, FCA fine
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The FCA has fined claims management company, Crosfill & Archer Claims Limited, £110,000 for cold calling.
cum/ex trading, FCA fine, Sapien Capital, Solo Group
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This is the first FCA case in relation to cum/ex trading, dividend arbitrage and withholding tax (WHT) reclaim schemes.
Adrian Geoffrey Horn, FCA fine, Stifel, wash trading
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The FCA has banned Adrian Geoffrey Horn, formerly a market making trader at Stifel Nicolaus Europe Limited, for market abuse.
Charles Schwab, Charles Schwab UK, FCA fine
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The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd £8.96 million for failing to adequately protect client assets.
Barclays, Barclays fine, FCA fine, LON:BARC
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FCA fines Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited for mistreatment of customers in financial difficulty.
The Financial Conduct Authority (FCA) has fined TFS-ICAP £3.44m for communicating misleading information to clients.
Corrado Abbattista, FCA fine, Fenician Capital
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The FCA ingests order book data from UK equity trading venues and runs surveillance algorithms, designed to identify abusive behaviours.
