Search results
Showing 31 to 40 of 89 search results for 000 for significant failings in relation to LIBOR.
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FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading
Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls -
About our data
The FCA publishes a wide range of data. Find out about the types of data available and how often it is published. -
The regulatory challenge
150,000 approved individuals and many more non-approved individuals who make up one of the most significant industries in the UK. ... You don’t need me to tell you that this reputation has taken a hit in recent times as a result of both prudential and -
Journey towards a conduct regulator
Speech by Clive Adamson, Director of Supervision, the FSA at the Westminster Forum, London -
Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in -
Tribunal upholds FCA fine on firm for misselling complex investments
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to fine Scottish firm Westwood Independent Financial Planners (Westwood) £100,000 for communications and suitability failings in ... We take the view that a -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
2016 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. -
Wholesale Conduct Risk
If, indeed, they featured at all. Libor triggered a wave of change – regulatory, legislative and within firms. ... The investigation into FX manipulation found many of the same failings as in LIBOR. -
FCA business plan and risk outlook published
The Financial Services Authority (FSA) has published the business plan and risk outlook for the Financial Conduct Authority (FCA) for 2013/14. The FSA will be replaced by the FCA and the Prudential Regulation Authority (PRA) on 1 April 2013.