Search results
Showing 51 to 60 of 1515 search results for LIBOR-related failures.
-
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. -
FSA fines spread bet broker £490,000 for transaction reporting failures
The Financial Services Authority (FSA) has fined City Index Limited (City Index) £490,000 for failing to provide accurate transaction reports to the FSA. -
Notice of Decision 2024: Alex Cars Bristol Ltd [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services
The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business. Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and, -
FCA and PRA fine Goldman Sachs International £96.6m for risk management failures in connection with 1MDB
FCA and PRA fine Goldman Sachs International £96.6m for risk management failures connected to 1Malaysia Development Berhad (1MDB) -
Notice of Decision: Car and Van Broker Limited [pdf]
This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation. -
FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse
The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse. -
Information on financial institutions failure to prevent money laundering - November 2021
FCA provides information on financial institutions failure to prevent money laundering. -
FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures
The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA. -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures. ... The size of the fine – the highest imposed for transaction reporting failures to date - reflects the severity of MLI’s misconduct, failure to adequately