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Showing 171 to 180 of 292 search results for failings in relation to LIBOR.
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FCA statement on Consultation Paper 12/20: Review of the client money rules for insurance intermediaries
The Financial Conduct Authority (FCA) has today written to firms providing an update on Consultation Paper 12/20: Review of the client money rules for insurance intermediaries, where it had proposed some changes to the rules and guidance in Chapter -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Information for customers of Premier FX Limited
On becoming aware of the difficulties facing Premier FX, we placed requirements on it to cease all regulated payment service activities and not to dispose of its assets. -
Deutsche Bank fined £4.7m for failing to properly report transactions
Deutsche Bank fined £4.7m for failing to properly report transactions. Press Releases First published:. ... issued Deutsche with a private warning in relation to other similar transaction reporting failures. -
FCA fines Sesame Ltd for ‘pay-to-play’ arrangements
In the Final Notice, the FCA finds that Sesame fell short of Principle 8 by failing to properly manage conflicts of interest. ... A firm must not pay or accept any fee or commission, or provide or receive any non-monetary benefit, in relation to -
CP21/13: A new Consumer Duty
We consult on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards customers -
Statutory notices issued by the RDC
Find out more about warning notices and decision notices issued by the Regulatory Decisions Committee (RDC), the documents you’ll receive if you get one, and how to respond. -
Whistleblowing qualitative assessment survey 2022
This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to -
FCA commits to being a more innovative, assertive and adaptive regulator
The commitment reflects the FCA’s Business Plan for 2021/22, the first annual plan since Nikhil Rathi joined the FCA as Chief Executive in October 2020 -
Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020.