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Showing 191 to 200 of 291 search results for failings in relation to LIBOR.

191. FCA fines and bans former Investment Analyst at Aviva Investors

     Press Releases Published: 17/11/2015 Last modified: 03/09/2016
     in relation to any regulated activity in the financial services industry for failing to act with honesty and integrity. ... The FCA fined Aviva Investors £17.6 million in relation to its failings on 24 February 2015.

192. The expanding scope of individual accountability for corporate misconduct

     Speeches Published: 03/04/2017 Last modified: 05/04/2017
     Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

193. Andrew Bailey speech at the Annual Public Meeting 2018

     Speeches Published: 11/09/2018 Last modified: 11/09/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

194. FCA fines Barclays £26 million over treatment of customers in financial difficulty

     Press Releases Published: 15/12/2020 Last modified: 15/12/2020
     The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited (Barclays) £26 million for failures in relation to their treatment of consumer credit customers who fell into arrears

195. LIBOR and the FCA's powers under the UK Benchmarks Regulation: questions and answers

     Firms Focus areas Markets Markets policy Published: 15/10/2021 Last modified: 09/01/2023
     In September 2021, we published information for firms to help manage an orderly wind-down of LIBOR. We explain this as well as information about our UK Benchmarks Regulation (BMR) powers.

196. Investment managers still failing to ensure effective oversight of best execution

     Multi-firm reviews Published: 03/03/2017 Last modified: 25/11/2021
     We outline findings from supervisory work looking at how investment managers deliver best execution for their clients.

197. FCA bans Lee Morgan for British Steel Pension Scheme advice failings

     Press Releases Published: 28/06/2023 Last modified: 28/06/2023
     The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. 

198. FCA announces plan to deliver significant redress to Woodford investors

     Press Releases Published: 19/04/2023 Last modified: 19/04/2023
     Following an investigation by the FCA, Link Fund Solutions has agreed to provide, with a material contribution from its ultimate parent, Link Administration Holdings (Link Group), a significant redress payment to investors in the LF Woodford Equity

199. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

     Press Releases Published: 28/03/2019 Last modified: 28/03/2019
     Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

200. Getting culture and conduct right - the role of the regulator

     Speeches Published: 13/07/2016 Last modified: 18/07/2016
     Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London.