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Showing 101 to 110 of 172 search results for significant failings in relation to LIBOR.
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FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures
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. -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
Whistleblowing qualitative assessment survey 2022
This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to -
Primary Market Bulletin 33
Welcome to the 33rd edition of the Primary Market Bulletin (PMB). -
FCA fines Standard Chartered Bank £102.2 million for poor AML controls
The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
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 -
Business Plan 2022/23
The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
FCA fines and bans former Investment Analyst at Aviva Investors
in relation to any regulated activity in the financial services industry for failing to act with honesty and integrity. ... The FCA fined Aviva Investors £17.6 million in relation to its failings on 24 February 2015. -
Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser
As a result, Mr Rosier did not take reasonable steps to demonstrate that the advice given to investors in relation to UCIS was suitable for them. ... The Tribunal found there would be a risk to investors if Mr Rosier was permitted to perform a