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Fca Hands Out Second Large Fine In As Many Weeks For Transaction Reporting Failures - Latest News


FCA hands out second large fine in as many weeks for transaction reporting failures

The Financial Conduct Authority has imposed a fine of £34,344,700 on Goldman Sachs International (“GSI”) for breaches of transaction reporting obligations. The fine comes just over a week after the ... read more

Salesforce.Com - More Cash In The Cloud Than You Might Think

Our second "Fundamentals of Software" article ... We suspect that the DATA acquisition will work out just fine. We’re a little concerned that DATA’s products are long in the tooth – it ... read more

The biggest FCA fines of 2015

Merrill Lynch International – £13.3m In April the FCA imposed its highest fine for transaction reporting failures on Merrill Lynch International ... fix “would be the best xmas present”. The second ... read more

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If I close my eyes, the end-of-life kit vanishes: UK banks in doghouse over poor resilience

The Financial Conduct Authority carried out a survey of almost 300 large and small firms to assess the state of resilience against its own figures for operational failures ... reporting major events. ... read more


Felony Conviction Bars Whistleblower from Pursuing Qui Tam Case

A relator convicted of criminal conduct is precluded from sharing in related FCA recoveries ... in the form of sentencing and fine reductions. Like the district court, the Ninth Circuit panel declined ... read more

Autocanada Inc (AOCIF) Q2 2018 Results - Earnings Call Transcript

I do welcome the opportunity to lead AutoCanada and contribute to building out what, at its core, is a very good business, and we have some challenges to address, though, and I look forward to ... read more

Bitcoin Aside, After ICO's Are STO's The Everyman's IPO?

As the FCA’s paper (CP19/3*), which runs until April 5 2019 for responses, points out: “As with cryptoassets ... “the proof that beyond buying blockchain startups, many reputable, large public ... read more

Top 10 operational risks for 2017

Based on the op risk concerns most frequently selected by those practitioners, we present our ranking of the top 10 operational risks for 2017. An overwhelming ... was hit with an £8.2 million fine ... read more

Global Enforcement Review 2018 - Executive Summary

On one hand, many of ... The FCA for instance has a goal to protect older savers from ill-advised transfers out of defined benefit pension schemes and other challenges arising from "pensions freedoms" ... read more

Trump’s Russian Laundromat

If the transaction seemed suspicious—multiple apartments for a single buyer who appeared to have no legitimate way to put his hands on that much ... with few reporting requirements—makes it difficult ... read more

HP TouchPad Needs 6 to 8 Weeks for Additional Shipments

That would place the new TouchPads in consumers' hands sometime in either late October ... and HP made the decision to end the tablet's life after a mere six weeks on the market. In order to clear out ... read more

Why Are Truck Owners Blocking Tesla Superchargers Across America?

Some people really need to grow up. The men didn’t leave until an employee of the Sheetz where the Superchargers are located kicked them out. Apparently, this childish practice isn’t just happening in ... read more



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