Wealth managers
Wealth managers
The Financial Conduct Authority (FCA) has handed Deutsche Bank a £227m fine, its largest ever for LIBOR and EURIBOR-related misconduct, because the bank tried to hamper investigations by misleading the regulator.
23 April 2015
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3 min read
Wealth managers
The regulator has frozen the assets of a property fund that it suspects is an elaborate scam.
22 April 2015
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1 min read
Wealth managers
The Financial Conduct Authority (FCA) has hit Merrill Lynch International (MLI) with the largest ever fine imposed for transaction reporting failures.
22 April 2015
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1 min read
Wealth managers
A former J.P. Morgan investment adviser has been accused of stealing at least $20m from clients and using the money to trade on his own account and to pay off his mortgage.
17 April 2015
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Wealth managers
Ernst & Young (EY) has paid $10m to settle claims it was negligent in it duty as auditor when it failed to raise the alarm when Lehman Brothers was heading towards collapse.
17 April 2015
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Wealth managers
A former professional indemnity insurance broker has been banned by the regulator for giving forged evidence and lying to the High Court.
16 April 2015
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2 min read
Wealth managers
The Financial Conduct Authority (FCA) has fined BNY Mellon £126m for failing to comply with rules ensuring the safe custody of client assets.
15 April 2015
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2 min read
Wealth managers
The Financial Conduct Authority (FCA) has warned of a scam firm using the details of investment manager BlackRock to defraud investors.
14 April 2015
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1 min read
