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Showing 711 to 720 of 769 search results for risk during LIBOR.

711. Updated: Upper Tribunal releases its judgment on action against Timothy Roberts and Andrew Wilkins

     Press Releases Published: 18/09/2015 Last modified: 09/12/2016
     Wilkins during the Enforcement process. ... The FCA views TLPI, such as ARM bonds, as complex, high risk and unsuitable for most consumers.

712. CP23/31: Primary Markets Effectiveness Review: Feedback to CP23/10 and detailed proposals for listing rules reforms

     Consultation papers Published: 20/12/2023 Last modified: 07/03/2024
     These proposed listing regime reforms aim to encourage a greater range of companies to list and grow on UK markets.

713. The Financial Conduct Authority imposes £2.1m fine and places restriction on Bank of Beirut after it misled the regulator

     Press Releases Published: 05/03/2015 Last modified: 30/08/2015
     Bank of Beirut’s failings impeded us and left it open to the risk that it might be used for financial crime. ... In November 2014,TR14/16 How small banks manage money laundering and sanctions risk: update.

714. FCA confirms new rules for certain open-ended funds investing in inherently illiquid assets

     Press Releases Published: 30/09/2019 Last modified: 30/09/2019
     The Financial Conduct Authority (FCA) has today confirmed new rules which apply to certain types of open-ended fund investing in inherently illiquid assets such as property. The new rules apply to these funds, known as non-UCITS retail schemes (NURSs

715. FCA gives update on banks’ overdraft pricing decisions and plans to support consumers

     Statements Published: 01/07/2020 Last modified: 11/11/2021
     Our new rules on overdrafts address both how much the most vulnerable were being charged for unarranged overdrafts, and the level of fees and charges that many arranged overdraft customers were paying on top of interest rates.

716. PS20/16: Updating the Dual-regulated firms Remuneration Code to reflect CRD V

     Policy statements Published: 17/12/2020 Last modified: 25/02/2021
     This PS summarises the feedback we received during the consultation period and our response to it. We set out our final rules on remuneration for dual-regulated firms and revise our previous guidance.

717. Regulatory and consumer bodies welcome review of pension scheme communications provided to steel workers

     Statements Published: 22/01/2019 Last modified: 22/01/2019
     The Financial Conduct Authority (FCA), The Pensions Regulator (TPR) and The Single Financial Guidance Body (SFGB) today welcomed an independent review by Caroline Rookes into communications and support provided to British Steel Pension Scheme (BSPS)

718. 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

719. FCA secures confiscation order totalling £5 million against illegal money lender

     Press Releases Published: 17/12/2019 Last modified: 17/12/2019
     On 11 December 2019, Southwark Crown Court made a confiscation order against Dharam Prakash Gopee in the sum of £5,118,018.72. The effect of the order is to confiscate all his criminal proceeds as an illegal money lender. Mr Gopee was also ordered

720. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

     Press Releases Published: 11/05/2018 Last modified: 11/05/2018
     The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence