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Showing 211 to 220 of 292 search results for failings in relation to LIBOR.

  1. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

    Press Releases Published: 09/10/2014 Last modified: 29/11/2021
    The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

  2. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  3. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

    Press Releases Published: 05/06/2015 Last modified: 05/06/2015
    Principle). In addition, Lloyds did not notify complaint handlers of known failings identified in its PPI sales processes during the relevant period. ... Lloyds’ conduct was unacceptable.”. Examples of how customers lost out as a result of Lloyds’

  4. Wholesale market policy – a year in review

    Speeches Published: 11/12/2015 Last modified: 11/12/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the ICI Global Trading and Market Structure Conference in London on 8 December 2015. This is the text of the speech as drafted, which may differ from the

  5. What does the future of insurance broking look like?

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Simon Green, Head of General Insurance and Protection, the FCA, at the Incisive Media Insurance Age Regulation event, London. This is the text of the speech as drafted, which may differ from the delivered version.

  6. FCA operating service metrics 2021/22

    Data Published: 19/07/2022 Last modified: 20/12/2023
    The FCA provides information about the timeliness of its operating service metrics (formerly known as service standards) in a range of areas for 2021/22.

  7. FCA fines CT Capital Ltd for failures related to PPI complaint handling

    Press Releases Published: 01/06/2016 Last modified: 01/06/2016
    Failing to handle complaints appropriately means that firms risk treating customers unfairly for a second time and it’s important that firms get this right. ... CT Capital’s failings were uncovered as part of a thematic review into the handling of

  8. FSA fines Prudential £30 million and censures CEO for failing to inform regulator of 2010 acquisition plans

    Press Releases Published: 27/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined companies in the Prudential Group (Prudential) a total of £30 million for breaching FSA Principles and UKLA Listing Principles. The fines relate to Prudential’s failure to inform the FSA at the

  9. FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures

    Press Releases Published: 23/07/2019 Last modified: 23/07/2019
    The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities.

  10. Information on enforcement investigations MLR 2007, MLR 2017, POCA 2002 - February 2022

    FOI Release Date of Release: 28/02/2022
    The FCA answers multiple questions regarding investigations into breaches of the Money Laundering Regulations 2007 (MLR 2007) and Money Laundering Regulations 2017 (MLR 2017).
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