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Showing 231 to 240 of 292 search results for failings in relation to LIBOR.
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UK EMIR reporting questions and answers
Guidance for reporting under the revised UK EMIR Article 9 reporting requirements. -
FCA tells lenders to support consumers struggling with the cost of living
The Financial Conduct Authority (FCA) is today writing to more than 3,500 lenders to remind them of the standards they should meet as consumers across the country are affected by the rising cost of living. With household bills expected to continue -
FSA and OFT publish guidance to firms designing new payment protection products
The Financial Services Authority (FSA) and the Office of Fair Trading (OFT) have jointly published final guidance to help prevent the problems associated with Payment Protection Insurance (PPI) recurring in a new generation of products. -
Aggregate complaints data: 2016 H1
The FCA collects complaints data from firms to assess how well they are treating their customers and how firms’ performance changes over time. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Asset management: common errors when applying for authorisation
Avoid delays and increase your chances of being authorised to work in the UK asset management sector. -
FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
The Financial Conduct Authority (FCA) has fined SEI Investments (Europe) Limited (SEI) for failings in relation to its protection of client money. ... Failings were found throughout SEI’s client money processes, indicating that SEI’s client money -
FCA fines Commerzbank London £37,805,400 over anti-money laundering failures
The FCA has today fined Commerzbank AG (London Branch) £37,805,400 for failing to put adequate anti-money laundering (AML) systems and controls in place between October 2012 and September 2017. -
Asia Resource Minerals plc (formerly Bumi plc) fined £4.65m for breaching the Listing Rules
listed company, breaching various rules applicable to listed companies and failing to identify related party transactions valued at just over £8m. ... More information in relation to the suspension is available in announcements made by the company. -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.