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Showing 121 to 130 of 172 search results for significant failings in relation to LIBOR.
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The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry
Following convictions on 20 November 2012 of two counts of fraud by abuse of position, the Financial Conduct Authority (FCA) has banned Kweku Mawuli Adoboli from performing any function in relation to any regulated financial activity. -
FCA operating service metrics 2021/22
The FCA provides information about the timeliness of its operating service metrics (formerly known as service standards) in a range of areas for 2021/22. -
Andrew Bailey speech at the Annual Public Meeting 2018
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting. -
FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading
The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case -
FCA fines CT Capital Ltd for failures related to PPI complaint handling
Failing to handle complaints appropriately means that firms risk treating customers unfairly for a second time and it’s important that firms get this right. ... CT Capital’s failings were uncovered as part of a thematic review into the handling of -
Outcomes-focussed regulation: a measure of success?
Speech by Charles Randell, Chair of the FCA and PSR, to the Building Societies Association -
FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately -
Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
and controls failings, in relation to the Gold Fixing. ... Plunkett's actions came the day after the publication of our LIBOR and EURIBOR action against Barclays. -
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 publishes decision notice against Alistair Burns deciding to ban him and fine him
The Financial Conduct Authority has today published a Decision Notice in respect of Alistair Burns, Chief Executive at TailorMade Independent Limited (TMI).