Behavox Blog

No hiding place for Deutsche Bank as blame game exposes endemic compliance failures

Mar 7, 2018 10:25:18 AM / by Behavox Regulatory Intelligence posted in enforcement, surveillance, Financial Conduct Authority

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The former Deutsche Bank trader Guillaume Adolph was fined £180,000 ($250,000) and banned from the industry for his role in the Libor rigging scandal this week, but instead of going quietly he has turned fire on his former employer and accused it of letting him down.

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FCA takes electronic broker to task over market abuse controls and STR failings

Feb 7, 2018 11:12:54 AM / by Behavox Regulatory Intelligence posted in Financial Conduct Authority, surveillance, enforcement, compliance

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The UK arm of the US retail broker, Interactive Brokers, has been fined more than £1m by the UK’s Financial Conduct Authority (FCA) for supervisory control and surveillance failings.

 

The Behavox Regulatory Intelligence team takes a deep dive into the final order.

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FCA's anti-competitive scrutiny is here to stay

Jan 25, 2018 10:19:27 AM / by Behavox Regulatory Intelligence posted in Financial Conduct Authority, surveillance, Competition, AI

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Asset managers must tighten monitoring of communications with rival firms, lawyers warned, after the UK Financial Conduct Authority accused four firms of collusion as it flexes its antitrust muscles for the first time.

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