Some regulatory stats and insights from Corlytics; Corlytics, one of the market leaders in regulatory risk intelligence and regulatory compliance management, has released a global enforcement fines report for the third quarter of 2023. The enforcement activities have […]
Ouch, that is a huge data breach fine for Equifax. Here’s the word; The Financial Conduct Authority (FCA) has fined Equifax Ltd (Equifax) £11,164,400 for failing to manage and monitor the security of UK consumer data […]
Whenever you hear about an entrepreneur paying an astronomical fee, your mind instantly wonders about a scam or a fraud that went wrong. In reality, this doesn’t have to be the case. A major mistake […]
Latest case report from the FCA; The Financial Conduct Authority (FCA) has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process. This risked people receiving unsuitable advice […]
Latest from the FCA; The Financial Conduct Authority (FCA) has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading. (No, that isn’t a typo – […]
The latest case from the HSE; A leading manufacturer of aircraft seats has been fined £660,000 after one of its employees suffered horrific injuries when he fell through a roof at a site in South […]
The FCA has fined Al Rayan Bank PLC (Al Rayan) £4,023,600 for failing to put in place adequate anti-money laundering (AML) controls. Between 1 April 2015 and 30 November 2017, Al Rayan allowed money to […]
The latest action from the FCA; The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 […]
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