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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

Has the FCA sharpened its claws of late?

March saw the FCA hand Goldman Sachs and UBS fines of £34.3m and £27.6m each respectively for failures related to MiFID-regulated transaction reporting, leading many regulatory experts ... is ... 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


How the kidnapping of executives made the insurance industry boom

Victims stopped reporting incidents to the authorities and arranged to ... the “chaos and opportunity flowing out of the Cold War thaw, along with the anxiety over national security that the Gulf War ... 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

December 2018 U.S. Plug-In EV Sales Report Card

However, there are many variables involved. Tesla Model 3 deliveries have ... Based on our data, 51,845 of these were sold in the U.S. Since GM has decided to discontinue monthly sales reporting, we ... read more

Bonded Child Labor in India's Silk Industry

In the last decade, efforts in some regions have driven bonded child labor out of factories ... or intensity. In many areas, bonded child labor still flourishes openly. In 1996 Human Rights Watch ... read more

Trading on News Before It’s Published

Matt Levine is a Bloomberg Opinion columnist covering finance. He was an editor of Dealbreaker, an investment banker at Goldman Sachs, a mergers and acquisitions lawyer at Wachtell, Lipton, Rosen & ... read more

Euro currency remains a work in progress on 20th birthday

But Italy’s large ... out for the European Commission as long ago as 1977 estimated that a shared currency would need a central budget of 5 to 7 percent of gross domestic product. Without that, ... read more

Tesla, Inc. (TSLA)

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging ... registrant’s most recently ... read more



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