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Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
Every LIBOR rate was calculated using a trimmed arithmetic mean. Submissions for each currency and maturity made by the banks were ranked in numerical order and the highest 25% and lowest -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
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 -
FCA to ban the promotion of UCIS and certain close substitutes to ordinary retail investors
The Financial Conduct Authority (FCA) has published final rules to ban the promotion of Unregulated Collective Investment Schemes (UCIS) and certain close substitutes (together to be known as Non-Mainstream Pooled Investments (NMPIs)) to the vast -
The art of thinking independently together – why the regulator cares about diversity
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the LGBT in the Financial Services Industry Summit. -
Michael Nascimento sentenced to 11 years’ imprisonment in FCA prosecution of £2.8m investment fraud
Michael Nascimento was today sentenced to 11 years’ imprisonment for his role in a share fraud carried out through a series of boiler room companies which led to the loss of more than £2.8 million of investors’ money. He was the controlling -
Additional events for mortgage and general insurance firms announced for Live & Local regional programme
As we continue the successful regional events in the Live & Local programme, we are now announcing details of the first set of events taking place in 2018 for regulated mortgage and general insurance firms. -
Lloyds Banking Group fined £4.3 million for delayed PPI redress payments
The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress. -
How can we ensure that Big Data does not make us prisoners of technology?
Speech by Charles Randell, Chair, Financial Conduct Authority and Payment Systems Regulator, delivered at Reuters Newsmaker event, London. -
Statement on the Financial Conduct Authority’s review of Royal Bank of Scotland’s treatment of customers referred to its Global Restructuring Group
This statement provides an update on the Financial Conduct Authority’s (FCA) review of Royal Bank of Scotland’s (RBS) treatment of small and medium enterprise (SME) customers in financial difficulty. -
Credit card provider NewDay to provide over £4 million in redress to customers
NewDay’s scheme will not cover customers charged the relevant fees before 1 April 2014 although the firm will consider any complaints made in respect of these on a