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Showing 641 to 650 of 771 search results for identification of poor.

  1. The FCA fines Rabobank £105 million for serious LIBOR-related misconduct

    Press Releases Published: 29/10/2013 Last modified: 29/10/2013
    Rabobank’s poor internal controls encouraged collusion between traders and LIBOR submitters and allowed systematic attempts at benchmark manipulation.

  2. Andrew Bailey speech at press conference for the publication of FCA corporate documents

    Speeches Published: 18/04/2017 Last modified: 18/04/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the press conference for the publication of FCA corporate documents.

  3. 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.

  4. Financial watchdog proposes to ban debt packager referral fees to protect consumers

    Press Releases Published: 02/02/2023 Last modified: 02/02/2023
    The FCA is to push ahead with proposals to ban debt packager firms from receiving referral fees from debt solution providers, following further analysis of the market.

  5. TR15/10: Fair treatment for consumers who suffer unauthorised transactions

    Thematic reviews Published: 28/07/2015 Last modified: 28/07/2015
    They also face obstacles when remembering multiple PINs (Personal Identification Numbers) and/or passwords in relation to their account(s), which may lead to them storing or sharing them.

  6. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

    Thematic reviews Published: 21/07/2016 Last modified: 15/11/2016
    We have surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest by dark pool ... We examined the promotion undertaken by

  7. FCA appoints executive directors to co-lead Enforcement and Market Oversight

    Press Releases Published: 23/03/2023 Last modified: 23/03/2023
    The Financial Conduct Authority (FCA) has appointed Therese Chambers and Steve Smart as joint Executive Directors of Enforcement and Market Oversight.

  8. TR18/2: Impact of credit broking remuneration models at the point of sale

    Thematic reviews Published: 27/09/2018 Last modified: 27/09/2018
    This report shares the findings of our thematic review into inter-firm commission or remuneration models in credit broking.

  9. Office of Financial Sanctions Implementation created to help UK businesses comply with financial sanctions

    Documents Published: 13/05/2016 Last modified: 19/05/2016
    Our Financial Crime guide also provides examples of good and poor practice in relation to developing and maintaining financial crime systems and controls including compliance with Financial Sanctions.

  10. Guiding principles on design, delivery and disclosure of ESG and sustainable investment funds

    News stories Published: 19/07/2021 Last modified: 19/07/2021
    We publish a letter to chairs of authorised fund managers setting out expectations on the design, delivery and disclosure of ESG and sustainable investment funds