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Violation Tracker UK Individual Case

Company: The Bank of New York Mellon International Limited et al.
Current Parent CompanyBank of New York Mellon
Parent at the Time of the Penalty Announcement: Bank of New York Mellon
Penalty: £126,000,000
Year: 2015
Date: 14 April, 2015
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited paid a £126 million fine in settlement of a finding by the FCA that the companies failed to comply with custody rules to ensure they had adequate controls and records to protect client assets.
Action Type: agency action
Settlement Type: settlement of FCA Decision
Agency: Financial Conduct Authority
HQ Country of Parent: United States
Ownership Structure of Parent: publicly traded
Major Industry of Parent: financial services
Specific Industry of Parent: banking
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