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Showing 171 to 180 of 291 search results for failings in relation to LIBOR.

171. Assessing the value of financial advice

     Speeches Published: 04/12/2017 Last modified: 11/04/2018
     Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

172. Deutsche Bank fined £4.7m for failing to properly report transactions

     Press Releases Published: 28/08/2014 Last modified: 28/08/2014
     Deutsche Bank fined £4.7m for failing to properly report transactions. Press Releases First published:. ... issued Deutsche with a private warning in relation to other similar transaction reporting failures.

173. Our Perimeter Report

     Annual reports Published: 20/07/2022 Last modified: 05/04/2024
     Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

174. Pawnbroking sector review

     Multi-firm reviews Published: 10/07/2018 Last modified: 10/07/2018
     As part of our Mission, we recently published details of Our Approach to Supervision. In this, we outlined how we supervise firms as part of a portfolio of firms that share a common business model. Pawnbroking forms part of the high-cost credit

175. Information for customers of Premier FX Limited

     Statements Published: 04/09/2018 Last modified: 25/02/2021
     On becoming aware of the difficulties facing Premier FX, we placed requirements on it to cease all regulated payment service activities and not to dispose of its assets.

176. Whistleblowing qualitative assessment survey 2022

     Data Published: 04/05/2023 Last modified: 04/05/2023
     This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to

177. FCA bans and fines two individuals for pension advice failings

     Press Releases Published: 20/03/2015 Last modified: 24/03/2020
     Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

178. FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

     Press Releases Published: 06/01/2015 Last modified: 08/11/2016
     FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor. ... The FCA recently consulted on changes to the sponsor regime in relation to sponsor competence.

179. Information on investigations into criminal and civil breaches of the Money Laundering Regulations

     FOI Release Date of Release: 02/09/2021
     FCA responds on information about investigations into criminal and civil breaches of the Money Laundering Regulations

180. FCA commits to being a more innovative, assertive and adaptive regulator

     Press Releases Published: 15/07/2021 Last modified: 15/07/2021
     The commitment reflects the FCA’s Business Plan for 2021/22, the first annual plan since Nikhil Rathi joined the FCA as Chief Executive in October 2020