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

ATFX Connect at FMLS 2024: Showcasing Leadership and Innovation in Finance

Wedbush Supports 24-Hour US Equity Trading For Correspondent Clients

HKEX Appoints Chief Sustainability and Group Chief Communications Officer

SEC Chair Gary Gensler to Step Down on 20 January

IC Markets Global and World Table Tennis (WTT) Renew Partnership