706 results about this entity
Period: 02 Sep 2004 - 16 Jul 2024
News
The Financial Services Authority (FSA) has fined Credit Suisse, Getco and Instinet a total of £4.2 million for transaction reporting failures.
08 April 2010
The Financial Services Authority is proposing new rules that would require banks and securities firms to tape and record staff mobile phone calls as part of a concerted crackdown on insider dealing.
19 March 2010
The US Securities and Exchange Commission is to build a new 'state-of-the-art IT Forensics Lab' after admitting that successive technology budget cuts between 2005 and 2007 severely constrained its ability to effectively police the markets.
18 March 2010
Swiss bank UBS is planning to launch a dark pool multilateral trading facility (MTF) for crossing orders in European stocks.
09 March 2010
The Financial Services Authority (FSA) and City of London Police have uncovered a 'master list' of 10,000 UK names circulating among boiler room share fraudsters.
01 February 2010
A new bank, called Walton & Co, could enter the UK market by the end of the year, with fundraising efforts underway to secure £200 million to kickstart the project, according to press reports.
11 January 2010
UK financial regulators are set to approve the opening of the country's first new start-up bank in a century according to the Financial Times.
14 December 2009
The Financial Services Authority (FSA) has fined Nomura International £1.75 million for "widespread systems and controls failings" around book marking within its International Equity Derivatives (IED) business.
24 November 2009
Voice Commerce, the UK-based biometric payment verification group established by former RBS WorldPay founder Nick Ogden, has received authorisation from the Financial Services Authority to establish as a Payment Institution under the European Payment Services Directive (PSD).
11 November 2009
The UK's Financial Services Authority has signaled a revision to its rule book that will require deposit takers to put in place appropriate systems to create and maintain a single customer view (SCV) to ensure fast payouts under the Financial Services Compensation Scheme.
06 November 2009
The Financial Services Authority has slapped an £8 million fine - its third-largest ever - on UBS for failing to prevent employees from posting unauthorised trading losses to customer accounts.
05 November 2009
Seymour Pierce has been fined £154,000 by the UK's Financial Services Authority (FSA) for failing to prevent an employee stealing from the stockbroker and its clients.
08 October 2009
UK financial services firms are facing a multi-million pound compliance bill to meet new liquidity reporting requirements set out Monday by the Financial Services Authority.
05 October 2009
The Financial Services Authority (FSA) has fined Barclays Capital Securities and Barclays Bank £2.45m for failing to provide accurate transaction reports to the watchdog and for "serious weaknesses" in systems and controls in relation to transaction reporting.
08 September 2009
The Financial Services Authority (FSA) is examining the impact of high-frequency trading and the use of dark pools on the UK equity market.
04 August 2009
The Financial Services Authority has hit HSBC with fines totalling £3.2 million for security failings at three units that led to the loss of sensitive customer data, putting thousands at risk of identity theft.
22 July 2009
UK consumer body Which? is calling on the Financial Services Authority to provide more detailed guidance on the evidence banks have to give in card fraud cases, as it releases research which indicates that approximately one-in-five ID fraud victims fail to get their money back.
25 June 2009
Securities and Exchange Commission (SEC) chief Mary Schapiro says the agency is to step up its scrutiny of dark pools amid concerns about the risks posed to market transparency and integrity by the proliferation of off-exchange trading venues.
19 June 2009
Bank-backed equity trading venue Turquoise is set to launch a liquidity aggregation and order routing service after getting the go-ahead from the Financial Services Authority (FSA).
18 May 2009
The Financial Services Authority has called on UK financial services firm to assess their contingency plans in light of the recent outbreak of influenza in Mexico and subsequent alerts from the World Health Organisation.
01 May 2009
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