UK regulatory penalties on course for record-breaking 2014

Financial Conduct Authority fines look likely to top 2013's £335m total


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The £105 million penalty for Lloyds’ rate-rigging efforts dominates the Financial Conduct Authority’s fines so far this year, making up almost half of the total fines imposed in 2014.

In the first seven months of the year, the UK regulator fined 20 individuals and companies, compared with 36 in the whole of 2013; but the average fine was significantly larger, at £12.1 million rather than £9.3 million. The total so far looks set to top 2013’s total of £334.8 million by the

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Investment banks: the future of risk control

This survey report explores the current state of risk controls in investment banks, the challenges of effective engagement across the three lines of defence, and the opportunity to develop a more dynamic approach to first-line risk control

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