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Showing 91 to 100 of 238 search results for failings in relation to LIBOR.

  1. FCA fines and bans former Deutsche Bank trader, Guillaume Adolph

    Press Releases Published: 05/03/2018 Last modified: 05/03/2018
    The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity.
  2. Regulation round-up September 2013

    Newsletters Published: 02/10/2013 Last modified: 28/10/2013
    In 2012, we identified failings in the way that some banks sold IRHPs. ... We fined AXA £1.8 million for failing to ensure it gave suitable investment advice to its customers and failing to have effective controls over its incentive schemes.
  3. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    You don’t need me to tell you that this reputation has taken a hit in recent times as a result of both prudential and conduct failings. ... We start in a place where, as LIBOR and FX have shown, the loyalties of your staff may be to people outside the
  4. FCA response to IBA’s proposed consultation on intention to cease US$ LIBOR

    Markets Statements Published: 30/11/2020 Last modified: 11/12/2020
    ICE Benchmark Administration (IBA), the FCA-regulated and authorised administrator of LIBOR, has announced that it will consult in early December on its intention to cease US$ LIBOR. The FCA welcomes and supports the proposal to consult on a clear
  5. FCA bans former Rabobank trader, Paul Robson, following LIBOR fraud conviction

    Press Releases Published: 17/03/2015 Last modified: 17/03/2015
    To date the FCA has issued 14 warning notices relating to interest rate benchmarks, and continues wider investigations into individuals’ conduct in relation to LIBOR misconduct. ... and enforcement action taken against former senior executives of
  6. UK EMIR news

    Markets policy Published: 24/05/2016 Last modified: 27/08/2021
    Read our archive of news relating to EMIR dating back to August 2013.
  7. Regulation round-up June 2017

    Newsletters Published: 22/06/2017 Last modified: 22/06/2017
    Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
  8. IRHP: determining the level of redress

    Consumers Published: 26/04/2016 Last modified: 26/05/2016
    What you can expect to receive as fair and reasonable redress, including compensation for consequential losses.
  9. FCA fines former fund manager Paul Stephany

    Press Releases Published: 05/02/2019 Last modified: 05/02/2019
    The Financial Conduct Authority (FCA) has fined Paul Stephany, a former fund manager at Newton Investment Management Limited, £32,200 for his conduct in relation to an Initial Public Offering (IPO) and a placing.
  10. Conclusions from the Cryptoassets Taskforce

    Speeches Published: 20/11/2018 Last modified: 23/11/2018
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Regulation of Cryptocurrencies event, London.