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Showing 11 to 20 of 1645 search results for conduct risk during.
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LIBOR transition
As of end-2021, LIBOR has changed. Firms must act now and remove remaining dependencies on LIBOR. -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation. ... The Financial Conduct Authority (FCA) has announced plans to look into how firms can reduce the risk of traders manipulating key benchmarks as a central part -
Knowledge Base
The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules. -
Supervision
Find out more about the FCA's approach to supervising firms. -
Market Watch 75
Newsletter on market conduct and transaction reporting issues, October 2023. -
IRHP: background to the review
Information on why the review was conducted. -
LIBOR Dear CEO letters
Dear CEO letters setting out our expectations of firms transitioning away from LIBOR. -
AIFMD
The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements. -
UK EMIR
The UK European Market Infrastructure Regulation (UK EMIR) covers derivatives, central counterparties and trade repositories. Find out how it applies to your firm. -
2014 fines
This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.