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Showing 51 to 60 of 280 search results for internal audit report.
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Financial crime controls at challenger banks
Ensuring the firms we regulate are effective in preventing financial crime, such as money laundering and sanctions evasion, remains a key priority. This includes testing the financial crime controls of new business models as they enter the UK -
The FCA fines Rabobank £105 million for serious LIBOR-related misconduct
Rabobank’s poor internal controls encouraged collusion between traders and LIBOR submitters and allowed systematic attempts at benchmark manipulation. ... In April 2009, a JPY LIBOR submitter informed Rabobank’s internal audit group that his -
Call of Duty: How putting customers front and centre will help industry innovate
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the 'Countdown to Implementation of the Consumer Duty' event. -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA. -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
Coronavirus and safeguarding customers’ funds: proposed guidance for payment firms
Short consultation proposing additional temporary guidance to strengthen payment firms’ prudential risk management and arrangements for safeguarding customers’ funds in light of the exceptional circumstances of the coronavirus pandemic -
Review of terminal illness benefits within life insurance protection products
FCA review of insurance companies’ approaches to terminal illness benefits to make recommendations for improvement. -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
Supporting material for applications by consumer credit, mortgage and other consumer finance firms
If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything.