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Showing 901 to 910 of 1547 search results for relation to LIBOR.

901. Tribunal upholds FCA fine on firm for misselling complex investments

     Press Releases Published: 27/11/2013 Last modified: 17/12/2013
     The Tribunal agreed with the FCA that Westwood breached two of its Principles for Businesses and a range of FCA rules in relation to its sale of GTEPs, which are complex, ... The Tribunal found that, in relation to all customers whom had given evidence

902. Former Blackrock Asset Management Managing Director Banned

     Press Releases Published: 15/12/2014 Last modified: 15/12/2014
     The Financial Conduct Authority (FCA) has banned Jonathan Paul Burrows from performing any function in relation to any regulated activities for not being fit and proper.

903. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

     Press Releases Published: 25/01/2018 Last modified: 25/01/2018
     The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

904. The Financial Conduct Authority (FCA) bans two individuals from the financial services industry

     Press Releases Published: 25/10/2016 Last modified: 25/10/2016
     The FCA has today banned two individuals from performing any function in relation to any regulated activity in the financial services industry.

905. Former equities trader charged with insider dealing

     Press Releases Published: 24/06/2014 Last modified: 05/04/2023
     The Financial Conduct Authority (FCA) has charged Damian Frank Clarke (DOB: 06/10/1975), a former equities trader at Schroders Investment Management Limited, with 9 counts of insider dealing, contrary to Section 52(1) of the Criminal Justice Act 1993

906. Mobile phone insurance: Follow-up review findings

     Thematic reviews Published: 10/12/2015 Last modified: 10/12/2015
     As a consequence of these findings we took specific regulatory actions in relation to some firms and engaged with the wider market to drive changes in practices and improve customer outcomes.

907. FCA issues first statement of objections to four asset management firms

     Press Releases Published: 29/11/2017 Last modified: 29/11/2017
     The Financial Conduct Authority (FCA) has issued a statement of objections to four asset management firms: Artemis Investment Management LLP, Hargreave Hale Ltd, Newton Investment Management Limited and River & Mercantile Asset Management LLP. The

908. Information on emoney firms and cryptocurrency firms - September 2022

     FOI Release Date of Release: 15/09/2022
     The FCA provides information on emoney firms and cryptocurrency firms - September 2022.

909. Rowanmoor Personal Pensions enters administration

     News stories Published: 31/08/2022 Last modified: 06/03/2023
     Rowanmoor Personal Pensions Limited is a Self-Invested Personal Pension operator authorised and regulated by the FCA.

910. Four arrested in FCA insider dealing investigation

     Press Releases Published: 30/07/2013 Last modified: 05/04/2023
     The Financial Conduct Authority (FCA) with the assistance of the Metropolitan Police has this morning executed search warrants in West London.