Work Area: Financial services misconduct investigations

Connecticut federal prosecutors investigating NatWest for suspected market manipulation have uncovered alleged breaches of an agreement that the UK lender signed in 2017 to avoid fraud charges in a separate case.

29 October 2021

26 October 2021

A federal court in Chicago has ruled that the US commodity regulator’s civil case against former Deutsche Bank trader James Vorley can proceed after settlement negotiations broke down.

25 October 2021

25 October 2021

The Swiss bank ignored internal warnings that a so-called “master of the kickbacks” was involved in a lucrative fundraising project in Mozambique.

20 October 2021

20 October 2021

19 October 2021

The FCA’s first criminal conviction of a bank sends a clear message that the UK’s financial regulator is prepared to use its criminal powers.

14 October 2021

11 October 2021

The bank faces the highest-ever AML fine in the UK in the FCA’s first criminal prosecution under its 2007 money laundering regulations.

07 October 2021