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Showing 41 to 50 of 1513 search results for LIBOR-related failures.
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Notice of Decision 2024: DC Car Sales Limited [pdf]
The Notice of Decision refers to failure to carry on regulated activities. We imposed a cancellation. -
Using claims management companies
The FCA is the regulator for CMCs in England, Wales and Scotland. The Financial Ombudsman Service has taken over complaints about CMCs. -
FSA issues fines totalling £4.2m for transaction reporting failures
The Financial Services Authority (FSA) has fined three firms a total of £4.2m for failing to provide accurate and timely transaction reports to the FSA. -
FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures
FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures. ... The IT failure affected over 6.5 million customers in the United Kingdom for several weeks. -
FCA fines CT Capital Ltd for failures related to PPI complaint handling
FCA fines CT Capital Ltd for failures related to PPI complaint handling. ... Even after that time, CT Capital operated flawed policies. In particular, it directed its complaints handlers that failures in the sales telephone calls need not lead to a -
UK RRD: Handbook rules
The FCA provides information on how UK RRD was implemented in the through several statutory instruments that amended UK legislation -
FCA fines former managing director £45,000 for failure to notify personal trades
The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades. -
Final Notice 2024: James William Edward Lewis [pdf]
This Final Notice refers to a failure to act with due care, skill and integrity. We imposed a financial penalty and a prohibition order. -
How the Financial Conduct Authority will investigate and report on regulatory failure [pdf]
How the Financial Conduct Authority will investigate and report on regulatory failure -
FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales
The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities.