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Showing 91 to 100 of 172 search results for significant failings in relation to LIBOR.

  1. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

    Press Releases Published: 13/07/2023 Last modified: 13/07/2023
    The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

  2. Deutsche Bank fined £4.7m for failing to properly report transactions

    Press Releases Published: 28/08/2014 Last modified: 28/08/2014
    issued Deutsche with a private warning in relation to other similar transaction reporting failures. ... The size of the fine reflects the very significant number of misreported transactions.

  3. Tribunal upholds FCA fine on firm for misselling complex investments

    Press Releases Published: 27/11/2013 Last modified: 17/12/2013
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to fine Scottish firm Westwood Independent Financial Planners (Westwood) £100,000 for communications and suitability failings in ... We take the view that a

  4. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

  5. Surveillance: The FCA's expectations and toolkits

    Speeches Published: 07/10/2014 Last modified: 07/10/2014
    Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  6. Chairman's speech to the Trust in Banking Conference

    Speeches Published: 20/10/2015 Last modified: 22/10/2015
    Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered

  7. The institutionalisation of customer service

    Speeches Published: 12/03/2013 Last modified: 01/07/2013
    Speech by Martin Wheatley - Managing Director, Conduct Business Unit at the Chartered Institute for Securities & Investment

  8. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  9. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

    Press Releases Published: 05/06/2015 Last modified: 05/06/2015
    As a result of Lloyds’ misconduct, a significant number of customer complaints were unfairly rejected. ... Lloyds’ conduct was unacceptable.”. Examples of how customers lost out as a result of Lloyds’ failings included that:.

  10. FCA publishes Decision Notice against financial adviser for pension transfer advice failings

    Press Releases Published: 09/08/2021 Last modified: 09/08/2021
    The Financial Conduct Authority has published a Decision Notice against Geoffrey Edward Armin of Retirement and Pension Planning Services
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