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Showing 141 to 150 of 172 search results for significant failings in relation to LIBOR.

141. Review of host Authorised Fund Management firms

     Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
     We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

142. Lloyds Banking Group fined £4.3 million for delayed PPI redress payments

     Press Releases Published: 19/02/2013 Last modified: 09/12/2016
     The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress.

143. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

     Press Releases Published: 09/08/2017 Last modified: 09/08/2017
     On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

144. Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse

     Press Releases Published: 06/03/2015 Last modified: 06/03/2015
     The Upper Tribunal (Tribunal) has released its decision in relation to Tariq Carrimjee of Somerset Asset Management LLP (Somerset). ... The Tribunal upheld the FCA’s decision to impose a penalty of £89,004 and found that Carrimjee’s failings were

145. The importance of culture in driving behaviours of firms and how the FCA will assess this

     Speeches Published: 19/04/2013 Last modified: 18/07/2013
     Speech by Clive Adamson, Director of Supervision, the FCA, at the CFA Society - UK Professionalism Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

146. Relending by high-cost lenders

     Firms Multi-firm reviews Published: 06/08/2020 Last modified: 07/08/2020
     This report sets out our review findings of relending by firms in the high-cost lenders portfolio.

147. Financial services regulation and enforcement: recent developments and emerging issues

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

148. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

149. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

     Press Releases Published: 21/07/2011 Last modified: 24/11/2021
     The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.

150. FCA fines guarantor lender TFS Loans Ltd (in administration) and requires it to provide redress to affected guarantors

     Press Releases Published: 10/06/2022 Last modified: 10/06/2022
     We have fined TFS Loans Ltd (in administration) £811,900 in relation to deficient affordability checks on 3,150 guarantors in its consumer credit business.