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Showing 241 to 250 of 292 search results for failings in relation to LIBOR.

241. FCA bans partners of firm that failed to consider customer SIPP suitability

     Press Releases Published: 17/04/2014 Last modified: 20/05/2014
     Andrew Rees and Timothy Hughes, partners at 1 Stop Financial Services (1 Stop), have been banned by the Financial Conduct Authority (FCA) from performing any significant influence function in relation to ... Mr Hughes also failed in his duty to ensure 1

242. Lloyds Banking Group fined £4.3 million for delayed PPI redress payments

     Press Releases Published: 19/02/2013 Last modified: 09/12/2016
     The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress.

243. Information on applications for Authorisation/Part 4a permission rejected - November 2021

     FOI Release Date of Release: 05/11/2021
     The FCA provides data on the number of Applications for Authorisation/Part 4a Permission that have been rejected per month since 1 January 2020 to 30 September 2021.

244. The importance of culture in driving behaviours of firms and how the FCA will assess this

     Speeches Published: 19/04/2013 Last modified: 18/07/2013
     Speech by Clive Adamson, Director of Supervision, the FCA, at the CFA Society - UK Professionalism Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

245. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

     Press Releases Published: 09/02/2016 Last modified: 09/02/2016
     FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative. ... The Financial Conduct Authority (FCA) has today fined Achilles Macris £792,900 for failing to be open and co-operative with the Authority.

246. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

     Press Releases Published: 21/07/2011 Last modified: 24/11/2021
     The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.

247. Financial crime controls at challenger banks

     Firms Multi-firm reviews Published: 22/04/2022 Last modified: 22/04/2022
     Ensuring the firms we regulate are effective in preventing financial crime, such as money laundering and sanctions evasion, remains a key priority. This includes testing the financial crime controls of new business models as they enter the UK

248. FCA publishes decision notice against Alistair Burns deciding to ban him and fine him

     Press Releases Published: 01/12/2016 Last modified: 10/11/2017
     The Financial Conduct Authority has today published a Decision Notice in respect of Alistair Burns, Chief Executive at TailorMade Independent Limited (TMI).

249. Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse

     Press Releases Published: 06/03/2015 Last modified: 06/03/2015
     The Upper Tribunal (Tribunal) has released its decision in relation to Tariq Carrimjee of Somerset Asset Management LLP (Somerset). ... The Tribunal upheld the FCA’s decision to impose a penalty of £89,004 and found that Carrimjee’s failings were

250. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.