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Showing 151 to 160 of 172 search results for significant failings in relation to LIBOR.
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FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative
FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative. ... The synthetic credit portfolio began to suffer significant losses from the beginning of 2012. -
FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings
Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA). -
TR18/4: Pricing practices in the retail general insurance sector: Household insurance
This report sets out the key findings of our thematic work on the pricing practices of household insurance firms. It then details our expectations of firms and our next steps. -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
While Aviva Investors’ failings were serious, the FCA has recognised that its actions since reporting its failings were exceptional. ... Since discovering the failings, Aviva Investors and its senior management have worked with the FCA in an -
Consumer Investments Strategy – 1 year update
The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
Barclays fined £38 million for putting £16.5 billion of client assets at risk
risk. All firms should be clear after Lehman that there is no excuse for failing to safeguard client assets.'. ... Fines were imposed on the following firms for similar failings:and,and Kyte Group Limited. -
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. -
FCA publishes the findings of its work into annuities sales practices and retirement income market
and where some firms are failing to tell customers other providers may offer enhanced annuities for medical conditions that they do not underwrite. ... This work is to determine if the findings in relation to enhanced annuities are indicative of a more -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
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 -
FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA.