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Showing 192 to 201 of 220 search results for Enforcement investigations and the Senior Managers Regime.
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Should you invest?
Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension. -
Get-rich-quick, Ponzi and pyramid schemes
Find out how get-rich-quick schemes like Ponzi and pyramid schemes work, how to avoid scams and what to do if you’re scammed. -
Lamprell plc fined £2,428,300 for systems and controls failings
The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial -
Primary Market Bulletin 42
In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers. -
FCA sets out next steps to improve competition in the UK’s asset management industry
The FCA has published the latest step in its response to the concerns identified through its asset management market study. This is part of a package of remedies to ensure fund managers compete on the value they deliver, and act in the interests of -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
The FCA fines Rabobank £105 million for serious LIBOR-related misconduct
Rabobank cooperated with the FCA’s investigation and agreed to settle early, qualifying for a 30% discount on its fine. ... Commodity Futures Trading Commission (CFTC) and the U.S. Department of Justice (DoJ) for their co-operation in this investigation -
The Financial Conduct Authority censures the Co-operative Bank for listing rules breaches and failing to be open with the regulator
The Financial Conduct Authority (FCA) has issued a public censure against The Co-operative Bank plc (Co-op Bank) for breaching its Listing Rules. The Listing Rules require issuers to ensure that information published is not misleading so that -
Cultural evolution: how culture must change to meet expectations
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum. -
RBS fined £87.5 million for significant failings in relation to LIBOR
The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR). -
FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function
Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:. ... The network model is undermined if the senior managers of the principle firm do not carry out their responsibilities.".