Work Area: Financial services misconduct investigations

FCA rejigs decision making processes

29 November 2021

FCA reports latest whistleblowing figures

26 November 2021

Latvian regulator fines PrivatBank over AML failings

23 November 2021

Hong Kong regulator fines four banks over anti-money laundering breaches

Hong Kong’s banking regulator has fined Swiss lender UBS, Commercial Bank of China and two other banks for historic anti-money laundering breaches.

22 November 2021

BNY Mellon settles whistleblower case

15 November 2021

Former Raiffeisen lawyer penalised for leaking legal report

12 November 2021

FCA fines second company over cum-ex trades

The UK financial regulator has ordered London-based brokerage Sunrise Brokers to pay £642,000 for executing suspected cum-ex trades on behalf of its clients.

12 November 2021

The GIR 100 2021: now live

The GIR 100 2021, the guide to the best law firms and consultancies to turn to in the lifecycle of an international investigation, is now online.

10 November 2021

FCA hands life ban to ex-Barclays banker convicted of rigging Euribor rate

The FCA has issued a life ban to Colin Bermingham almost seven years after notifying him of its intention to bring an enforcement action against him.

02 November 2021

Barclays CEO steps down amid investigation of Epstein relationship

Jes Staley plans to challenge the findings of two UK regulators that are investigating whether the banker misrepresented historic ties to convicted sex offender Jeffrey Epstein.

01 November 2021

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