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Showing 711 to 720 of 771 search results for identification of poor.
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ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
The brokers' misconduct was exacerbated by a poor compliance culture within IEL which was a result of its heavy focus on revenue at the expense of regulatory requirements. -
Ensuring the UK remains open for business – requirements for foreign-owned firms
Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344
The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds). -
FCA sets out next steps to improve defined benefit pension transfer market
FCA sets out a package of measures designed to address weaknesses across the defined benefit (DB) transfer market. -
Financial watchdog bans referral fees for debt packagers to help struggling consumers
The FCA is banning certain providers of debt advice from receiving referral fees from debt solution providers. -
Fairness, flexibility and the long-term view: the FCA’s vision for the mortgage market
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the UK Finance Annual Mortgage Conference, London. -
FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence -
FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice
was involved in producing inflated valuations to conceal the poor performance of the investments that he had recommended;. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
The brokers’ misconduct was exacerbated by a poor compliance culture within Martins which was a result of its heavy focus on revenue at the expense of regulatory requirements. -
FCA response to FSB’s Super-Complaint - requiring personal guarantees for business loans
On 08 December 2023, we received a super-complaint from the Federation of Small Businesses (FSB). This is the first super-complaint we have received since the super-complaint regime was applied to the FCA in 2013.