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Showing 121 to 130 of 291 search results for failings in relation to LIBOR.

  1. Final Notice 2022: Esfera Capital, Agencia de Valores, S.A. [pdf]

    Final notices Published: 18/01/2022
    This Final Notice (Esfera Capital) refers to a failure to satisfy the effective supervision and suitability threshold conditions (COND) and to be open and co-operative with the Authority (PRIN 11) in relation to a firm within the TPR. We imposed a

  2. FCA sets out findings against Link Fund Solutions

    Press Releases Published: 11/04/2024 Last modified: 11/04/2024
    Link Fund Solutions failed to act with due skill, care and diligence in its management of the Woodford Equity Income Fund, according to findings published by the FCA.

  3. Building a regulatory environment for the future

    Speeches Published: 22/06/2021 Last modified: 22/06/2021
    Speech by our CEO, Nikhil Rathi, delivered at City Week 2021. 

  4. Modelling integrity through culture

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Consumer protection in the listing regime

    Speeches Published: 21/03/2014 Last modified: 28/03/2014
    As you are probably aware, the debate was prompted by concerns from the investment community about governance failings at a small number of high-profile issuers. ... In that event the exemptions from the related party regime are removed in relation to

  6. FCA places restrictions on KBFS Financial Limited

    News stories Published: 15/11/2023 Last modified: 15/11/2023
    We have imposed a number of restrictions on KBFS Financial Limited preventing it from carrying on any regulated activities and restricting access to its assets.

  7. Information on Anti Money Laundering investigations in 2021 - February 2022

    FOI Release Date of Release: 16/02/2022
    The FCA answers multiple questions regarding AML investigations in 2021 and enforcement actions.

  8. Fair and effective markets review

    Speeches Published: 14/07/2015 Last modified: 23/10/2015
    And where firms had failed, despite the lessons of LIBOR, to identify and manage the risks they faced. ... They fall into six categories:. Market structures presented opportunities for abuse – so, the design of benchmarks like LIBOR gave opportunities

  9. FCA discontinues action against Craig Whyte

    Press Releases Published: 28/02/2022 Last modified: 28/02/2022
    The decision to end the case was taken after the FCA received new information from Mr Whyte’s previous lawyers which meant there was no longer a realistic prospect of a conviction.

  10. UK RRD: Handbook rules

    Tasks for regulated firms Published: 23/05/2016 Last modified: 10/02/2023
    The FCA provides information on how UK RRD was implemented in the through several statutory instruments that amended UK legislation
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