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Showing 1821 to 1830 of 1850 search results for FSA Final Notice 2009.
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The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
The Final Notice for Deutsche Bank. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
The Final Notice for Martins. ... The remaining contributions were then arithmetically averaged to create the final published LIBOR rate. -
FCA fines Barclays £72 million for poor handling of financial crime risks
fine that has been imposed by the FCA and its predecessor the FSA for financial crime failings. ... The Final Notice for Barclays Bank. -
FCA bans Angela Burns from acting as a non-executive director and fines her for her failure to declare conflicts of interest
The Financial Conduct authority (FCA) has banned Angela Burns from acting as a non-executive director (NED) and fined her £20,000 for failing to act with integrity at two mutual societies. -
Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue
Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue. -
FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers. The failings were serious -
Speech: New thinking in regulatory economics
FSAOccasional Paper32 (2009) uses differences between sales channels to provide evidence of increased shopping around following the introduction of meaningful price disclosure. ... I suppose the final implication of my story could be that influencing -
FCA bans and fines trader £662,700 for manipulating gilt price during QE
The Final Notice - for a more detailed description of Stevenson's trading, and price movements of the affected bond, please see section four. ... The government authorised the Bank to run two programmes of Quantitative Easing (QE), between March 2009 – -
FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings
The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December