Showing 291 to 299 of 299 search results for enforcement action against.

291. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

     Press Releases Published: 05/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).

292. UBS fined £9.45m for failings in its sale of an AIG fund

     Press Releases Published: 12/02/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

293. Four building blocks of efficient capital markets

     Speeches Published: 01/02/2013 Last modified: 29/03/2013
     Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference

294. Monitoring orders and transactions – our expectations of firms

     Speeches Published: 31/01/2013 Last modified: 29/03/2013
     Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

295. Tribunal upholds FSA decision to fine firm £8m for market abuse

     Press Releases Published: 28/01/2013 Last modified: 28/01/2015
     The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as

296. Barclays fined £59.5 million for significant failings in relation to LIBOR and EURIBOR

     Press Releases Published: 27/06/2012 Last modified: 22/03/2013
     The Financial Services Authority (FSA) has today fined Barclays Bank Plc (Barclays) £59.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever

297. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

     Press Releases Published: 21/07/2011 Last modified: 24/11/2021
     The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.

298. FSA fines Société Générale £1.575 million for failures in transaction reporting

     Press Releases Published: 25/08/2010 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined the London branch of Société Générale (SocGen) £1,575,000 for failing to provide accurate transaction reports to the FSA. The fine reflects the seriousness of SocGen’s failure to submit

299. FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud

     Press Releases Published: 17/12/2007 Last modified: 08/11/2016
     The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in