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Showing 71 to 80 of 87 search results for million for significant failings in relation to LIBOR.

  1. 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 ... Between October 2010 and November 2012, Mr

  2. 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).

  3. Andrew Bailey speech at the Annual Public Meeting 2018

    Speeches Published: 11/09/2018 Last modified: 11/09/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting.

  4. 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 Tribunal upheld the FCA’s decision to impose a penalty of £89,004 and found that Carrimjee’s failings were serious and that a significant financial penalty was appropriate. ... In November 2011 Goenka was fined $9,621,240 (approximately £6

  5. Business Plan 2022/23

    Business plans Published: 07/04/2022 Last modified: 27/04/2022
    The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.

  6. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

  7. What does the future of insurance broking look like?

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Simon Green, Head of General Insurance and Protection, the FCA, at the Incisive Media Insurance Age Regulation event, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

    Press Releases Published: 22/09/2015 Last modified: 14/11/2016
    The Financial Conduct Authority (FCA) has fined Mr McNeil £350,000 and prohibited him from performing any significant influence function for failing to comply with Statements of Principle 4 and 6 ... corporate funds by failing to take sufficient steps

  9. Payday lender Cash Genie to provide £20 million redress to over 92,000 customers

    Press Releases Published: 27/07/2015 Last modified: 09/11/2016
    Payday lender Cash Genie to provide £20 million redress to over 92,000 customers. ... A number of serious failings took place which caused detriment for many customers.

  10. Outcomes-focussed regulation: a measure of success?

    Speeches Published: 06/05/2021 Last modified: 11/06/2024
    Speech by Charles Randell, Chair of the FCA and PSR, to the Building Societies Association
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