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Showing 101 to 110 of 289 search results for failings in relation to LIBOR.
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Do I need to worry about benchmark regulation?
Speech by Edwin Schooling Latter, Head of Markets Policy, FCA, delivered at CISI European Regulation Forum on 2 February 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
Business Plan 2024/25
Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
FCA fines LJ Financial Planning Ltd £107,200
Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest. -
FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud
FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud. Press Releases First published:. ... To date the FCA has issued 14 warning notices related to interest rate benchmarks, and continues wider investigations into individuals’ conduct in -
Primary Markets enforcement outcomes
A list of recent Primary Markets enforcement outcomes. -
The role and responsibilities of a Sponsor
A Sponsor must be appointed and their role clear. Learn about the different principles for sponsors, their role, what they need to provide to us and protection. -
Do the right thing
Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit. -
FCA response to IBA’s proposed consultation on intention to cease US$ LIBOR
ICE Benchmark Administration (IBA), the FCA-regulated and authorised administrator of LIBOR, has announced that it will consult in early December on its intention to cease US$ LIBOR. The FCA welcomes and supports the proposal to consult on a clear -
FSA - Unregulated Collective Investment Schemes: Letter to retail intermedieries [pdf]
The unlawful promotion and mis-selling of UCIS is a key risk we have identified in the retail investment market. We have identified significant failings by certain distributor firms in relation to their UCIS activities and are concerned there may be -
The regulatory challenge
You don’t need me to tell you that this reputation has taken a hit in recent times as a result of both prudential and conduct failings. ... We start in a place where, as LIBOR and FX have shown, the loyalties of your staff may be to people outside the