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Compliance failures cited by FCA in £12.5m fine on Citigroup Global Markets

Compliance Monitor

Compliance failures cited by FCA in £12.5m fine on Citigroup Global Markets

Major failures by the Compliance function have been highlighted by the FCA in fining Citigroup’s international broker-dealer £12.5 million for failing to implement the 2016 Market Abuse Regulation (MAR) properly. Senior leaders involved in the inadequate monitoring have subsequently moved position, says the regulator.

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