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Showing 641 to 650 of 769 search results for risk during LIBOR.

  1. FCA finds small firms need to manage financial crime risks more effectively

    Press Releases Published: 14/11/2014 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

  2. Senior Managers and Certification Regime Banking Stocktake Report

    Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
    The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.

  3. FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud

    Press Releases Published: 17/12/2007 Last modified: 08/11/2016
    The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in

  4. FCA takes further action against unregistered crypto ATMs in East London

    Press Releases Published: 08/03/2023 Last modified: 13/03/2023
    In a joint operation with the Metropolitan Police, we have used our powers to inspect several sites suspected of hosting illegally operating crypto ATMs

  5. Insurance brokers: serving consumers and businesses in times of uncertainty and change

    Speeches Published: 13/05/2022 Last modified: 13/05/2022
    Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference.

  6. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

  7. FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales

    Press Releases Published: 30/09/2019 Last modified: 30/09/2019
    The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. 

  8. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    The Tribunal’s decision was issued following a hearing during October 2014. ... The Tribunal found there would be a risk to investors if Mr Rosier was permitted to perform a significant influence function.

  9. PS19/21: Retirement Outcomes Review: feedback on CP19/5 and our final rules and guidance

    Policy statements Published: 30/07/2019 Last modified: 12/01/2023
    PS19/21: Retirement Outcomes Review: feedback on CP19/5 and our final rules and guidance

  10. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

    Press Releases Published: 19/09/2013 Last modified: 19/09/2013
    This is yet another example of a firm failing to get a proper grip on the risks its business poses to the market. ... There were basic failings in the operation of fundamental controls over a high risk part of the business.
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