Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 21 to 30 of 87 search results for million for significant failings in relation to LIBOR.

  1. FCA publishes Decision Notice for former UBS LIBOR trader

    Press Releases Published: 14/04/2016 Last modified: 14/04/2016
    and failing to take reasonable care to organise its affairs responsibly and effectively, with adequate risk management systems in relation to the process. ... The UBS Final Notice describes in detail UBS’s failings. Amongst other things it states that

  2. Balance of interests

    Speeches Published: 26/06/2013 Last modified: 18/01/2017
    Speech by Martin Wheatley, Chief Executive, the FCA, at the International Derivatives Expo, London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. UK RRD: Handbook rules

    Tasks for regulated firms Published: 23/05/2016 Last modified: 10/02/2023
    The FCA provides information on how UK RRD was implemented in the through several statutory instruments that amended UK legislation

  4. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR. ... David Caplin and Jeremy Kraft are the first individuals holding Significant Influence Functions to be fined for failings that contributed to

  5. NatWest fined £264.8 million for anti-money laundering failures

    Press Releases Published: 13/12/2021 Last modified: 13/12/2021
    National Westminster Bank Plc fined £264,772,619.95 following convictions for three offences of failing to comply with money laundering regulations.

  6. FCA finds firms still failing to fully manage benchmark risks

    Press Releases Published: 29/07/2015 Last modified: 29/07/2015
    FCA finds firms still failing to fully manage benchmark risks. Press Releases First published:. ... Following benchmark cases on LIBOR, Forex and Gold, the UK government passed legislation to regulate benchmark activities in UK.

  7. Facing the future – challenges and priorities for the FCA

    Speeches Published: 12/11/2020 Last modified: 12/11/2020
    Speech by our CEO, Nikhil Rathi, given at the Address to the City Regulators, Mansion House.

  8. FCA announces plan to deliver significant redress to Woodford investors

    Press Releases Published: 19/04/2023 Last modified: 19/04/2023
    Following an investigation by the FCA, Link Fund Solutions has agreed to provide, with a material contribution from its ultimate parent, Link Administration Holdings (Link Group), a significant redress payment to investors in the LF Woodford Equity

  9. Conduct risk during LIBOR transition

    Firms Focus areas Markets Markets policy Published: 19/11/2019 Last modified: 09/01/2023
    Questions and answers for firms on conduct risk during LIBOR transition.

  10. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

    Press Releases Published: 05/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).
Related searches