Tag: Client Assets

April 15, 2015 BY Andrew Saks-McLeod

BNY Mellon's London operations fined by FCA over client money failings

The FCA has fined BNY Mellon's London and international operations £126 million for failings regarding rulings on customer funds

September 23, 2014 BY Mike Fox

Barclays fined £38 million for putting £16.5 billion of client assets at risk

This is the highest fine ever imposed by the FCA or its predecessor the FSA for client assets breaches, reflecting ‘significant weaknesses’ in the systems and controls in Barclays’ Investment Banking Division between November 2007 and January 2012 and the number of affected accounts.

Tag: Client Assets

BNY Mellon's London operations fined by FCA over client money failings

Barclays fined £38 million for putting £16.5 billion of client assets at risk

Mitsubishi UFJ Financial Group Reorganises Overseas Securities Entities

J.P. Morgan Securities Fined $3 Million by FINRA

Mastercard: US Holiday Season Retail Sales Grew 3.8%

Visa Says US Holiday Retail Spend Rose 4.8% YoY

SEC Charges Investment Adviser Dolphin Associates and Donald Netter for Misleading Investors