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Showing 101 to 110 of 289 search results for failings in relation to LIBOR.

  1. Do I need to worry about benchmark regulation?

    Speeches Published: 04/02/2016 Last modified: 04/02/2016
    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.
  2. Business Plan 2024/25

    Business plans Published: 19/03/2024 Last modified: 19/03/2024
    Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.
  3. FCA fines LJ Financial Planning Ltd £107,200

    Press Releases Published: 10/12/2020 Last modified: 10/12/2020
    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.
  4. FCA bans former Rabobank trader, Lee Stewart, following LIBOR fraud

    Press Releases Published: 30/07/2015 Last modified: 30/07/2015
    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
  5. Primary Markets enforcement outcomes

    Published: 18/02/2021 Last modified: 07/11/2023
    A list of recent Primary Markets enforcement outcomes.
  6. The role and responsibilities of a Sponsor

    Primary markets Published: 20/09/2018 Last modified: 16/12/2022
    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.
  7. Do the right thing

    Speeches Published: 01/06/2023 Last modified: 30/10/2023
    Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.
  8. FCA response to IBA’s proposed consultation on intention to cease US$ LIBOR

    Markets Statements Published: 30/11/2020 Last modified: 11/12/2020
    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
  9. FSA - Unregulated Collective Investment Schemes: Letter to retail intermedieries [pdf]

    Correspondence Published: 18/06/2012 Last modified: 03/08/2016
    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
  10. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    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