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Regulator: FCA. Jurisdiction: UK. Integrity/governance. The FCA publicly censured CACEIS UK for weak financial crime controls that let the collapsed wealth manager WealthTek hold client assets it was never permitted to hold.
Regulator: PRA. Jurisdiction: UK. Integrity/governance. The PRA fined Bank of London Group £2 million for integrity failings and inadequate cooperation over misrepresenting its capital position.
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