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Showing 221 to 230 of 292 search results for failings in relation to LIBOR.

  1. 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).

  2. FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

    Press Releases Published: 05/10/2016 Last modified: 03/11/2016
    The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets.

  3. Information on open FCA enforcement investigations - December 2020

    FOI Release Date of Release: 21/12/2020
    The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020.

  4. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

    Press Releases Published: 01/09/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

  5. FCA statement regarding potential enforcement action against Link Fund Solutions Ltd

    Statements Published: 21/09/2022 Last modified: 21/09/2022
    This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange.

  6. FCA acts to address unclear and excessive motor finance costs

    Press Releases Published: 04/03/2019 Last modified: 04/03/2019
    The Financial Conduct Authority (FCA) is considering changes to the way in which commission works in the motor finance sector after uncovering serious concerns about the way in which lenders are choosing to reward car retailers and other credit

  7. Findings from our investment platforms costs and charges review – good and poor practice

    Firms Published: 04/05/2022 Last modified: 04/05/2022
    In our Investment Platforms Market Study we said we would keep the role of platforms in helping consumers understand their investment costs under review.

  8. FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings

    Press Releases Published: 03/08/2010 Last modified: 29/11/2021
    The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions.

  9. Investment Funds, Markets Liquidity and the Investor

    Speeches Published: 24/03/2016 Last modified: 23/06/2016
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at The 9th Financial Risk International Forum in Paris on 21 March 2016. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    failings in respect of gathering client information and producing suitability reports such that Bayliss was unable to demonstrate the suitability of the recommendations it made to its clients;. ... As a result, Mr Rosier did not take reasonable steps to
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