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Showing 51 to 60 of 89 search results for 000 for significant failings in relation to LIBOR.

51. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    As a result, Mr Rosier did not take reasonable steps to demonstrate that the advice given to investors in relation to UCIS was suitable for them. ... The Tribunal found there would be a risk to investors if Mr Rosier was permitted to perform a

52. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

    Press Releases Published: 22/09/2015 Last modified: 14/11/2016
    FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function. ... The Financial Conduct Authority (FCA) has fined Mr McNeil £350,000 and

53. Business Plan 2024/25

    Business plans Published: 19/03/2024 Last modified: 09/04/2024
    Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.

54. FCA fines and bans former Investment Analyst at Aviva Investors

    Press Releases Published: 17/11/2015 Last modified: 03/09/2016
    in relation to any regulated activity in the financial services industry for failing to act with honesty and integrity. ... The FCA fined Aviva Investors £17.6 million in relation to its failings on 24 February 2015.

55. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

    Press Releases Published: 09/04/2019 Last modified: 09/04/2019
    The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML

56. Four building blocks of efficient capital markets

    Speeches Published: 01/02/2013 Last modified: 29/03/2013
    Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference

57. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

    Press Releases Published: 24/02/2015 Last modified: 24/02/2015
    The Financial Conduct Authority (FCA) has fined Aviva Investors Global Services Limited (Aviva Investors) £17,607,000 for systems and controls failings that meant it failed to manage conflicts of interest ... Since discovering the failings, Aviva

58. Investor relations in an increasingly regulated and international world

    Speeches Published: 19/06/2013 Last modified: 18/07/2013
    Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

59. Penalties, remediation, and our General Principles

    Speeches Published: 13/02/2020 Last modified: 13/02/2020
    FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London.

60. Improving the consumer experience

    Speeches Published: 13/11/2013 Last modified: 04/12/2013
    Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.