Search results
Showing 671 to 680 of 747 search results for reasons set out in this Final Notice.
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Conduct risk in FX markets
Speech by Edwin Schooling Latter, Head of Markets Policy at the FCA, delivered at FX Week Europe. -
So long LIBOR – 3 weeks to go
Speech by Edwin Schooling Latter, FCA Director of Markets and Wholesale Policy and Wholesale Supervision, delivered at delivered at Risk.net’s LIBOR telethon. -
Regulating the UK as a global financial centre
Speech delivered by Nausicaa Delfas, Executive Director of International at City & Financial Global’s Virtual Summit. -
Anti-competitive conduct in the asset management sector: FCA Decisions under the Competition Act 1998
On 21 February 2019, the FCA decided that 3 asset management firms, Hargreave Hale Ltd, Newton Investment Management Limited and River and Mercantile Asset Management LLP (RAMAM), breached competition law. They shared strategic information during a -
FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures
The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities. -
FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case
Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised. -
Charles Randell speech at the Annual Public Meeting 2018
Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Annual Public Meeting at the QEII Centre, Westminster. -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
This is our fourth penalty in relation to LIBOR and our investigations continue. ... The Final Notice for IEL. -
Critical issues in financial regulation: The FCA's perspective
Speech by our CEO, Nikhil Rathi, delivered at City Week 2022. -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
Proper transaction reporting really matters. Merrill Lynch International has failed to get this right again – despite a Private Warning, a previous fine, and extensive FCA guidance and enforcement action in this ... Without this discount the fine would