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Showing 22 to 31 of 37 search results for enforcement investigations in March 2015.
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Should you invest?
Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension. -
FCA bans former RBS LIBOR submitter, Paul White
Between 8 March 2007 and 24 November 2010 (the Relevant Period), Mr White was the primary RBS submitter for JPY and CHF LIBOR. ... This is the FCA’s fourth public action against a trader for manipulating LIBOR submissions, and follows fines and bans in -
Connaught Income Series 1 Fund — update to investors
On 10 March 2015 the FCA announced that we had decided to formally investigate the activities of Capita and Blue Gate in connection with their roles as operators of the Fund. ... As with other enforcement investigations, we will not comment on it as it -
FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs
Press Releases First published:. 21/09/2015. Last updated: 21/09/2015. Share page. ... Until 31 March 2014 Elizabeth was Chair of the Office for Legal Complaints. -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that -
FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud
In March 2015 Mr Stewart pleaded guilty in the US for his role in a conspiracy to manipulate Rabobank’s US Dollar LIBOR submissions. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA, said:. -
Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly
Executive Committee and for some other senior executives as a result of the FCA’s Enforcement investigation. ... Between January 2011 and March 2015 a total of £19.2bn was paid out across the industry to consumers who complained about the way they -
Debating trust and confidence in banking
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the ResPublica Vocational Banking event in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
Press Releases First published:. 23/04/2015. Last updated: 24/04/2015. Share page. ... Fixing the LMBA Silver Price and ICE Brent Index have been regulated since 1 April 2015. -
FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules
Press Releases First published:. 15/04/2015. Last updated: 15/04/2015. Share page. ... Georgina Philippou, acting director of enforcement and market oversight at the FCA said:.