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Showing 101 to 110 of 292 search results for failings in relation to LIBOR.

101. Contract for differences

     Tasks for firms Published: 09/01/2017 Last modified: 21/04/2023
     Find out about the FCA's expectations of providers and brokers offering retail consumers contract for differences (CFD) products, which include spread betting and rolling spot foreign exchange (FX).

102. The role and responsibilities of a Sponsor

     Primary markets Published: 20/09/2018 Last modified: 16/12/2022
     A Sponsor must be appointed and their role clear. Learn about the different principles for sponsors, their role, what they need to provide to us and protection.

103. Final Notice 2023: Wellington Court Financial Services Limited [pdf]

     Final notices Published: 06/10/2023
     This final notice (Wellington Court Financial Services Limited) refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in relation to a firm within the TPR. We imposed a cancellation.

104. FCA fines LJ Financial Planning Ltd £107,200

     Press Releases Published: 10/12/2020 Last modified: 10/12/2020
     Independent financial advice firm is fined for providing its customers with unsuitable pension switching and transfer advice and failing to manage its conflicts of interest.

105. FCA response to IBA’s proposed consultation on intention to cease US$ LIBOR

     Markets Statements Published: 30/11/2020 Last modified: 11/12/2020
     ICE Benchmark Administration (IBA), the FCA-regulated and authorised administrator of LIBOR, has announced that it will consult in early December on its intention to cease US$ LIBOR. The FCA welcomes and supports the proposal to consult on a clear

106. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     You don’t need me to tell you that this reputation has taken a hit in recent times as a result of both prudential and conduct failings. ... We start in a place where, as LIBOR and FX have shown, the loyalties of your staff may be to people outside the

107. Do the right thing

     Speeches Published: 01/06/2023 Last modified: 30/10/2023
     Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.

108. UK EMIR news

     Markets policy Published: 22/05/2016 Last modified: 19/06/2024
     Read our archive of news relating to EMIR dating back to August 2013.

109. Primary Markets enforcement outcomes

     Published: 18/02/2021 Last modified: 07/11/2023
     A list of recent Primary Markets enforcement outcomes.

110. FSA - Unregulated Collective Investment Schemes: Letter to retail intermedieries [pdf]

     Correspondence Published: 18/06/2012 Last modified: 03/08/2016
     The unlawful promotion and mis-selling of UCIS is a key risk we have identified in the retail investment market. We have identified significant failings by certain distributor firms in relation to their UCIS activities and are concerned there may be