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Showing 41 to 50 of 171 search results for significant failings in relation to LIBOR.
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FSA - Unregulated Collective Investment Schemes: Letter to retail intermedieries [pdf]
The unlawful promotion and mis-selling of UCIS is a key risk we have identified in the retail investment market. We have identified significant failings by certain distributor firms in relation to their UCIS activities and are concerned there may be -
The role and responsibilities of a Sponsor
A Sponsor must be appointed and their role clear. Learn about the different principles for sponsors, their role, what they need to provide to us and protection. -
2016 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. -
Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm. -
UK RRD: Handbook rules
The FCA provides information on how UK RRD was implemented in the through several statutory instruments that amended UK legislation -
FCA statement - insuring SMEs: business interruption
FCA announces it intends to obtain a court declaration to resolve contractual uncertainty in business interruption insurance cover -
FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions
The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR). -
How the UK will regulate for the future
Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics. -
FCA fines LJ Financial Planning Ltd £107,200
Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest. -
Business Plan 2024/25
Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.