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Showing 81 to 87 of 87 search results for million for significant failings in relation to LIBOR.

  1. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

  2. FCA fines Guaranty Trust Bank (UK) Limited £7.6 million for further failures in its anti-money laundering systems and controls

    Press Releases Published: 10/01/2023 Last modified: 10/01/2023
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 and July 2019.

  3. 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

  4. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Consumer Investments Strategy – 1 year update

    Corporate documents Published: 18/10/2022 Last modified: 15/06/2023
    The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.

  6. Proceeds of fraud - Detecting and preventing money mules

    Multi-firm reviews Published: 19/10/2023 Last modified: 13/11/2023
    We share the key findings from our review of payment account providers’ systems and controls against money mule activity.

  7. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

    Press Releases Published: 20/01/2015 Last modified: 24/11/2021
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior
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