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Searching Content indexed under Compliance by Pooja Kondhia ordered by Published Date Descending.
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News Digest 28/08/15: CitiGroup Fined And HSBC IT Glitch Affects Thousands
The Securities and Exchanges Commission (SEC) has fined CitiGroup $15 million for compliance and surveillance failures.
UK
8 Sep 2015
2
News Digest 21/08/15: Coop Bank Loss And India Sues Nestle
The Cooperative Bank has tripled its net loss for the first half of 2015 to £204 million compared to last year's £77 million.
UK
4 Sep 2015
3
FRC Investigates KPMG In Connection To BNY Mellon Client Money
The Financial Reporting Council (FRC) is investigating KPMG in connection with BNY Mellon's client asset practices.
UK
1 Jul 2015
4
EC To Investigate Competition In E-Commerce Sector
The European Commission (EC) is to investigate competition in the e-commerce sector in all EU member states.
European Union
12 May 2015
5
FRC To Look At Quality Of Explanations In ‘Comply Or Explain’ Section
The Financial Reporting Council is to look at the quality of explanations provided by companies that choose not to comply with UK Corporate Governance Code in the ‘comply and explain’ section.
UK
6 May 2015
6
Whistleblower Awarded Financially By SEC
The Securities and Exchange Commission (SEC) has financially awarded a whistleblower which led to successful enforcement.
UK
1 May 2015
7
FCA Fines The Bank Of New York Mellon For Client Money Failures
The Financial Conduct Authority (FCA) has fined The Bank of New York Mellon (BNY Mellon) £126 million for failing to safeguard client money and assets.
UK
22 Apr 2015
8
Clydesdale Bank Fined Heavily By FCA
The bank has been fined a record sum of £20.6 million for failings between May 2011 and July 2013 and is the largest ever fine imposed for failings relating to PPI.
UK
21 Apr 2015
9
SEC Fines Engineering Firm For Whistleblowing Violations
The Securities and Exchange Commission (SEC) fined engineering firm KBR Inc. for whistleblowing violations.
United States
20 Apr 2015
10
E.On To Pay £7.75m For Overcharging Customers
E.On, one of the UK's biggest energy firms, has agreed with Ofgem to pay a penalty of £7.75 million for overcharging its customers.
UK
16 Apr 2015
11
CMA Publishes Guidance For Company Secretaries
The Competition and Markets Authority has published a quick guide on competition law for company secretaries.
UK
13 Apr 2015
12
Final Rules On Solvency II Published By PRA
The final rules on how to implement the Solvency II Directive have been published by the Prudential Regulation Authority.
UK
30 Mar 2015
13
Monitor Placing Norfolk And Suffolk In Special Measures Not All Bad
Monitor has placed Norfolk and Suffolk NHS Foundation Trust into special measures, but health expert Paul Ridout says this is not necessarily a bad thing.
UK
18 Mar 2015
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