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Showing 161 to 170 of 172 search results for significant failings in relation to LIBOR.

  1. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    that firms with significant business lines in these asset classes need to do more to detect and report suspicious activity. ... your firm will need to consider whether to file STORs in relation to both the clients and the employees.

  2. FCA publishes Final Notice for Keydata’s former finance director, Craig McNeil, fining him £350,000 and prohibiting him from performing any significant influence function

    Press Releases Published: 22/09/2015 Last modified: 14/11/2016
    The Financial Conduct Authority (FCA) has fined Mr McNeil £350,000 and prohibited him from performing any significant influence function for failing to comply with Statements of Principle 4 and 6 ... corporate funds by failing to take sufficient steps

  3. Competition Policy in Financial Markets – the view from the regulators

    Speeches Published: 22/06/2016 Last modified: 22/06/2016
    Speech by Mary Starks, Director of Competition, FCA, delivered at the Centre for Competition Policy (CCP) Conference on 10 June in Norwich.

  4. Proceeds of fraud - Detecting and preventing money mules

    Multi-firm reviews Published: 19/10/2023 Last modified: 13/11/2023
    We share the key findings from our review of payment account providers’ systems and controls against money mule activity.

  5. FCA fines Policy Administration Services Ltd £2.8 million for poor complaints handling of mobile phone insurance policies sold by Phones 4u Ltd

    Press Releases Published: 03/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Policy Administration Services Limited (PAS) £2,834,700 for poor complaints handling between June 2009 and September 2011, including failing to identify the root causes of recurring issues and put

  6. FCA publishes Decision Notices for Carillion plc (in liquidation) and three of its former executive directors

    Press Releases Published: 28/07/2022 Last modified: 28/07/2022
    The FCA has imposed a public censure on Carillion, rather than a financial penalty, given the firm is insolvent and in liquidation

  7. Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt

    Press Releases Published: 19/10/2021 Last modified: 22/10/2021
    The Financial Conduct Authority has fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. These loans and a bond

  8. Further guidance on enhancing resilience in Liability Driven Investment

    Multi-firm reviews Published: 24/04/2023 Last modified: 24/04/2023
    The FCA contacted asset managers as they enhance their resilience and review the vulnerabilities they experienced. This publication shares guidance and recommendations for LDI managers.

  9. Payday lender Cash Genie to provide £20 million redress to over 92,000 customers

    Press Releases Published: 27/07/2015 Last modified: 09/11/2016
    A number of serious failings took place which caused detriment for many customers. ... In a significant number of these cases customers were encouraged to apply to these websites for loans and give their banking details under the false pretence that the

  10. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

    Press Releases Published: 20/01/2015 Last modified: 24/11/2021
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior
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