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Showing 301 to 310 of 324 search results for International Securities Identification.

  1. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    The first three of the 5 Conduct Questions focus on the identification of conduct risk; ensuring that staff within regulated firms feel and are responsible for managing the conduct of their ... That is why developing the effective ‘conduct risk

  2. FCA reveals next round of successful firms in its regulatory sandbox

    Press Releases Published: 05/12/2017 Last modified: 06/12/2017
    The Financial Conduct Authority (FCA) today unveils the firms that were successful in their applications to begin testing in the third cohort of the sandbox.

  3. FCA publishes Annual Report 2015/16 and report of its competition activities since 2013

    Press Releases Published: 12/07/2016 Last modified: 12/07/2016
    Influencing policy and technical standards internationally through bodies such as the European Securities and Markets Authority, the International Organisation of Securities Commissions and the Financial Stability Board;.

  4. FCA warns that younger investors are taking on big financial risks

    Press Releases Published: 23/03/2021 Last modified: 23/03/2021
    The Financial Conduct Authority (FCA) has published research findings into better understanding investors who engage in high-risk investments like cryptocurrencies and foreign exchange.

  5. Competition in the asset management industry: UK experiences, global implications

    Speeches Published: 24/10/2017 Last modified: 24/10/2017
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting.

  6. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

  7. UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR

    Press Releases Published: 19/12/2012 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.

  8. 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

  9. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

    Press Releases Published: 28/07/2014 Last modified: 28/07/2014
    This was done by allowing banks to swap illiquid, mortgage backed securities for highly liquid UK Treasury Bills. ... It is fundamental to the operation of both UK and international financial markets, including markets in interest rate derivatives

  10. PS23/2: Changes to reporting requirements, procedures for data quality and registration of Trade Repositories under UK EMIR

    Policy statements Published: 24/02/2023 Last modified: 28/02/2023
    We have launched a joint consultation with the Bank of England on changes to reporting requirements, procedures for data quality and registration of Trade Repositories under UK EMIR.
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