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Showing 221 to 230 of 292 search results for failings in relation to LIBOR.
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The Financial Conduct Authority (FCA) bans Kweku Mawuli Adoboli from the financial services industry
Following convictions on 20 November 2012 of two counts of fraud by abuse of position, the Financial Conduct Authority (FCA) has banned Kweku Mawuli Adoboli from performing any function in relation to any regulated financial activity. -
Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
UK EMIR reporting questions and answers
Guidance for reporting under the revised UK EMIR Article 9 reporting requirements. -
FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings
The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets. -
FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures
The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities. -
FCA acts to address unclear and excessive motor finance costs
The Financial Conduct Authority (FCA) is considering changes to the way in which commission works in the motor finance sector after uncovering serious concerns about the way in which lenders are choosing to reward car retailers and other credit -
FCA statement regarding potential enforcement action against Link Fund Solutions Ltd
This follows an announcement made on 21 September by Link Group to the Australian Securities Exchange. -
FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings
The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions. -
Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser
failings in respect of gathering client information and producing suitability reports such that Bayliss was unable to demonstrate the suitability of the recommendations it made to its clients;. ... As a result, Mr Rosier did not take reasonable steps to -
Findings from our investment platforms costs and charges review – good and poor practice
In our Investment Platforms Market Study we said we would keep the role of platforms in helping consumers understand their investment costs under review.