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Showing 131 to 140 of 289 search results for failings in relation to LIBOR.
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Review of annuity sales practices: TR16/7
This review assessed how firms provided information to customers, on a non-advised basis, about shopping around for enhanced annuities. The report presents the results of our review into customer communications and the actions we intend to take. -
The FCA holds key conference on financial crime
Review announced into how UK banks control money laundering, terrorist financing and sanctions risks in trade finance. -
Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
Internal investigations by firms
Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ -
Dual regulation of claims management firms - February 2022
The FCA answers multiple questions regarding dual regulation of Claims Management Activities by both the Solicitors Regulation Authority (SRA) and the Financial Conduct Authority (FCA). -
FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in -
Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
FCA business plan and risk outlook published
The Financial Services Authority (FSA) has published the business plan and risk outlook for the Financial Conduct Authority (FCA) for 2013/14. The FSA will be replaced by the FCA and the Prudential Regulation Authority (PRA) on 1 April 2013. -
Our work on Defined Benefit Pension Transfers
We are looking at Defined Benefit (DB) Pension Transfers to assess the advice consumers are receiving from firms and whether they are at risk of harm. -
Four building blocks of efficient capital markets
Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference