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Showing 151 to 160 of 289 search results for failings in relation to LIBOR.
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Outlining the FCA’s approach to authorisation
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference. -
NatWest fined £264.8 million for anti-money laundering failures
National Westminster Bank Plc fined £264,772,619.95 following convictions for three offences of failing to comply with money laundering regulations. -
Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London. -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
The importance of purposeful anti-money laundering controls
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021. -
Financial promotions quarterly data 2023 Q1
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2023 to 31 March 2023 . -
Recruit, change or terminate an appointed representative
If you're a principal firm, find out how to recruit, change or terminate appointed representatives (AR) and complete related Approved Persons applications. -
Firm Details Attestation (FDA) since January 2021 - January 2022
The FCA responds to multiple questions on Firm Details Attestation. -
FCA finds failings in the oversight of appointed representatives in the general insurance sector
FCA finds failings in the oversight of appointed representatives in the general insurance sector. ... considering the need for customer redress and whether further regulatory action in relation to the issues identified is required. -
Moving towards a sustainable model of regulation
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version.