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Showing 41 to 50 of 89 search results for 000 for significant failings in relation to LIBOR.
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FCA bans four for 'disgraceful' failings in relation to occupational pension schemes
Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives. ... At its peak, the network was responsible for approximately 400 ARs and 500 individual advisers (CF30s), who gave advice to over 60,000 customers, -
The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures
The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings. -
FCA announces plan to deliver significant redress to Woodford investors
Following an investigation by the FCA, Link Fund Solutions has agreed to provide, with a material contribution from its ultimate parent, Link Administration Holdings (Link Group), a significant redress payment to investors in the LF Woodford Equity -
The importance of purposeful anti-money laundering controls
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021. -
Lloyds Banking Group fined £4.3 million for delayed PPI redress payments
The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress. -
Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020. -
FCA publishes Decision Notice against financial adviser for pension transfer advice failings
The Financial Conduct Authority has published a Decision Notice against Geoffrey Edward Armin of Retirement and Pension Planning Services -
Do the right thing
Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit. -
Fair and effective markets review
Public anger was significant and the reverberations and impact on the real economy have been profound. ... And where firms had failed, despite the lessons of LIBOR, to identify and manage the risks they faced.