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Showing 71 to 80 of 80 search results for FSA of inappropriate LIBOR.

71. Competition and conduct regulation in financial services

    Speeches Published: 09/09/2013 Last modified: 10/09/2013
    Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Regulatory Policy Institute's Annual Competition and Regulation Conference. This is the text of the speech as drafted, which may differ from the delivered version.

72. FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors

    Press Releases Published: 04/06/2013 Last modified: 03/11/2016
    The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast

73. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

    Press Releases Published: 23/05/2014 Last modified: 24/03/2015
    Plunkett's actions came the day after the publication of our LIBOR and EURIBOR action against Barclays. ... These failings led to an increased risk of inappropriate conduct by Barclays' traders participating in the Gold Fixing.

74. PS13/3 Restrictions on the retail distribution of unregulated collective investment schemes and close substitutes

    Policy statements Published: 04/06/2013 Last modified: 30/08/2015
    We are setting out our rules on unregulated collective investment schemes and close substitutes in relation to ordinary retail investors in the UK.

75. Rockingham Independent fined £35,000 for recommending unsuitable investments

    News stories Published: 14/09/2011 Last modified: 23/04/2013
    We have fined Rockingham Independent Limited £35,000 and imposed partial prohibitions on its two directors and an adviser at the firm for recommending unsuitable investments. Find out what this means for the firm’s customers.

76. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

    Press Releases Published: 23/05/2013 Last modified: 22/11/2021
    The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

77. The importance of culture in driving behaviours of firms and how the FCA will assess this

    Speeches Published: 19/04/2013 Last modified: 18/07/2013
    Speech by Clive Adamson, Director of Supervision, the FCA, at the CFA Society - UK Professionalism Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

78. FCA further bolsters its leadership team as it expands its headcount

    Press Releases Published: 05/07/2022 Last modified: 06/07/2022
    The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and

79. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

    Press Releases Published: 21/07/2011 Last modified: 24/11/2021
    The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.

80. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

    Press Releases Published: 12/11/2014 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358