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Showing 51 to 60 of 70 search results for Internal Audit Report submitted to the Audit.
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FCA sets out approach to Non-Executive Directors and the Senior Managers Regime
This includes a requirement for firms to appoint a whistleblowers’ champion, who will be responsible for overseeing the effectiveness of internal whistleblowing arrangements, preparing an annual report to the board on ... The importance of robust -
Alternative investment fund manager (AIFM) hosting
Information for AIFMs using the host model to manage alternative investment funds (AIFs), known as AIFM hosting. -
The FCA fines Rabobank £105 million for serious LIBOR-related misconduct
Rabobank’s poor internal controls encouraged collusion between traders and LIBOR submitters and allowed systematic attempts at benchmark manipulation. ... In April 2009, a JPY LIBOR submitter informed Rabobank’s internal audit group that his -
Primary Market Bulletin 44
This edition covers diversity and inclusion, when a prospectus is required in Schemes of Arrangement and regulatory news with multimedia content. -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA. -
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. -
FCA outcomes and metrics
The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them. -
Speech: Culture in UK banking – regulatory priorities
and, indeed, in firms’ own internal monitoring) this is often attempted by aiming to create ‘credible deterrence’.This could mean raising penalties for misconduct and/or raising the probability of its ... are given an incentive to report them to -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
Coronavirus and safeguarding customers’ funds: proposed guidance for payment firms
Short consultation proposing additional temporary guidance to strengthen payment firms’ prudential risk management and arrangements for safeguarding customers’ funds in light of the exceptional circumstances of the coronavirus pandemic