Enforcement Actions
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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...

Enforcement Actions
FCA applies large adjustments to challenger bank fines
The Financial Conduct Authority (FCA) has applied large step two adjustments when calculating Starling Bank and Metro Bank’s recent fines...

Enforcement Actions
FCA admits plan to ‘name and shame’ could have been handled better, fresh consultation in Q1
Ashley Alder, chair of the Financial Conduct Authority (FCA), has acknowledged that the regulator could have handled better its proposals...

Enforcement Actions
Little support for FCA’s ‘name and shame’ plans in Lords’ call for evidence responses
Respondents to a call for evidence on plans by the UK Financial Conduct Authority (FCA) to reveal the names of...
