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Showing 151 to 160 of 292 search results for failings in relation to LIBOR.

151. Investor relations in an increasingly regulated and international world

     Speeches Published: 19/06/2013 Last modified: 18/07/2013
     Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

152. The importance of purposeful anti-money laundering controls

     Speeches Published: 01/04/2021 Last modified: 01/04/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021.

153. Penalties, remediation, and our General Principles

     Speeches Published: 13/02/2020 Last modified: 13/02/2020
     FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London.

154. UBS fined £9.45m for failings in its sale of an AIG fund

     Press Releases Published: 12/02/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

155. Modification by consent: GEN, SYSC, TC, MIPRU, ICOBS, PROD and SUP

     Tasks for regulated firms Published: 28/10/2022 Last modified: 08/12/2022
     Find out how this modification works and how to take advantage of it.

156. Financial promotions quarterly data 2023 Q1

     Data Published: 05/05/2023 Last modified: 04/08/2023
     We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2023 to 31 March 2023 .

157. Moving towards a sustainable model of regulation

     Speeches Published: 03/11/2015 Last modified: 03/11/2015
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

158. Our approach to international firms

     Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
     Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation.

159. Firm Details Attestation (FDA) since January 2021 - January 2022

     FOI Release Date of Release: 28/01/2022
     The FCA responds to multiple questions on Firm Details Attestation.

160. Service standards 2019/20

     Data Published: 24/06/2020 Last modified: 24/06/2020
     The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20.