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Showing 181 to 190 of 292 search results for failings in relation to LIBOR.

181. Information on investigations into criminal and civil breaches of the Money Laundering Regulations

     FOI Release Date of Release: 02/09/2021
     FCA responds on information about investigations into criminal and civil breaches of the Money Laundering Regulations

182. FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

     Press Releases Published: 06/01/2015 Last modified: 08/11/2016
     FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor. ... The FCA recently consulted on changes to the sponsor regime in relation to sponsor competence.

183. TR19/2: General insurance distribution chain

     Thematic reviews Published: 10/04/2019 Last modified: 11/09/2023
     The FCA sets out the key findings from our thematic work on the general insurance distribution chain, its expectations of firms and next steps.

184. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

     Press Releases Published: 13/07/2023 Last modified: 13/07/2023
     The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

185. FCA bans and fines two individuals for pension advice failings

     Press Releases Published: 20/03/2015 Last modified: 24/03/2020
     Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA).

186. FCA fines UBS AG £27.6 million for transaction reporting failures

     Press Releases Published: 19/03/2019 Last modified: 19/03/2019
     UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017.

187. FCA publishes Decision Notice against financial adviser for pension transfer advice failings

     Press Releases Published: 09/08/2021 Last modified: 09/08/2021
     The Financial Conduct Authority has published a Decision Notice against Geoffrey Edward Armin of Retirement and Pension Planning Services

188. Craig Whyte appears at court for failing to provide key passwords for seized devices

     Press Releases Published: 22/12/2021 Last modified: 22/12/2021
     In a prosecution brought by the Financial Conduct Authority (FCA), Craig Whyte has been charged with failing to provide passwords for various laptops and phones.

189. Convicted illegal money lender sentenced to three and a half years imprisonment

     Press Releases Published: 09/02/2018 Last modified: 12/01/2023
     Dharam Prakash Gopee (64), was today sentenced to three and a half years imprisonment by a Judge in Southwark Crown Court after guilty verdicts.

190. FCA fines and bans former Investment Analyst at Aviva Investors

     Press Releases Published: 17/11/2015 Last modified: 03/09/2016
     in relation to any regulated activity in the financial services industry for failing to act with honesty and integrity. ... The FCA fined Aviva Investors £17.6 million in relation to its failings on 24 February 2015.