Search results
Showing 1281 to 1290 of 1547 search results for relation to LIBOR.
-
FCA commences High Court proceedings over unauthorised collective investment schemes
The FCA has commenced High Court proceedings against Mr Robin Forster, Fortem Global Limited and Mr Richard Tasker, over alleged links to investments in care homes in which investors appear to have lost at least £30 million. -
TR16/6: Principals and their appointed representatives in the general insurance sector
Our work identified significant shortcomings in relation to principal firms’ understanding of their regulatory obligations for their appointed representatives and their control and oversight of their appointed representatives’ activities. -
FCA fines CT Capital Ltd for failures related to PPI complaint handling
Until January 2013, CT Capital operated an inappropriate policy in relation to rejecting complaints on the basis of age (time bar) which failed to take into account when a customer may -
FCA fines Bastion Capital London Limited £2.5m for serious financial control failings
The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading. -
Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser
As a result, Mr Rosier did not take reasonable steps to demonstrate that the advice given to investors in relation to UCIS was suitable for them. -
Key findings on our recent work on pension transfer advice
Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we -
Information on retirement income market data 2019/20 release - November 2020
FCA provides information on aggregated retirement income stock data to March 2020. -
Exploring Synthetic Data Validation – privacy, utility and fidelity
This paper explores the insights from a roundtable event hosted by the FCA, the Information Commissioner’s Office, and the Alan Turing Institute. -
Information on open investigations related to the asset management sector - April 2021
The FCA provides information on investigations it has launched in relation to the asset management sector and senior management functions. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime.