The U.K. Financial Conduct Authority (FCA) on Monday fined Charles Schwab U.K. (CSUK) approximately £9 million (U.S. $12 million) for compliance failures related to the protection of client assets.

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Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,...