Standard Chartered said the fines relate to violations of US sanctions laws and financial crime control failures in the UK.
Tag: Financial Conduct Authority
Senior reporter Hayley McDowell examines ESMA’s investigations into periodic auctions and asks what it could mean for the future of trading post-MiFID II.
The FCA appears to take a more relaxed approach to periodic auctions, while asset managers and other regulators remain concerned about their lack of transparency.
MiFID II compliance with best execution, unbundling and payment for order flow are among the rules the FCA will be looking at this year.
FCA enforces annual assessment despite concerns around sensitive information and the time frame having been raised.
Liquidity management highlighted as a focus for the UK regulator this year.