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Showing 181 to 190 of 291 search results for failings in relation to LIBOR.

181. Craig Whyte appears at court for failing to provide key passwords for seized devices

     Press Releases Published: 22/12/2021 Last modified: 22/12/2021
     In a prosecution brought by the Financial Conduct Authority (FCA), Craig Whyte has been charged with failing to provide passwords for various laptops and phones.

182. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

     Press Releases Published: 30/10/2014 Last modified: 30/10/2014
     In the Final Notice, the FCA finds that Sesame fell short of Principle 8 by failing to properly manage conflicts of interest. ... A firm must not pay or accept any fee or commission, or provide or receive any non-monetary benefit, in relation to

183. Consumer investments data review 2020

     Data Published: 18/01/2021 Last modified: 13/06/2023
     A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020.

184. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

     Press Releases Published: 13/07/2023 Last modified: 13/07/2023
     The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

185. FCA fines UBS AG £27.6 million for transaction reporting failures

     Press Releases Published: 19/03/2019 Last modified: 19/03/2019
     UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

186. CP21/13: A new Consumer Duty

     Consultation papers Published: 13/05/2021 Last modified: 11/08/2023
     We consult on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards customers

187. TR19/2: General insurance distribution chain

     Thematic reviews Published: 10/04/2019 Last modified: 11/09/2023
     The FCA sets out the key findings from our thematic work on the general insurance distribution chain, its expectations of firms and next steps.

188. FCA publishes Decision Notice against financial adviser for pension transfer advice failings

     Press Releases Published: 09/08/2021 Last modified: 09/08/2021
     The Financial Conduct Authority has published a Decision Notice against Geoffrey Edward Armin of Retirement and Pension Planning Services

189. Convicted illegal money lender sentenced to three and a half years imprisonment

     Press Releases Published: 09/02/2018 Last modified: 12/01/2023
     Dharam Prakash Gopee (64), was today sentenced to three and a half years imprisonment by a Judge in Southwark Crown Court after guilty verdicts.

190. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

     Press Releases Published: 30/05/2019 Last modified: 30/05/2019
     The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016.