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Showing 81 to 90 of 172 search results for significant failings in relation to LIBOR.
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Our investigations – the evolving approach
Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum. -
Market abuse in a time of coronavirus
Julia Hoggett speaking on market abuse at the Ciy & Financial Global event. -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives. ... This culture created an environment which allowed poor standards of business to continue for a significant period of time. -
Improving the consumer experience
Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA bans four for 'disgraceful' failings in relation to occupational pension schemes
Three men have been banned from working in the financial services industry by the Financial Conduct Authority (FCA); and another has been banned from holding key positions. This follows a review of CBW Trustees Limited and CBW Pensions Forensics -
Internal investigations by firms
Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ -
Penalties, remediation, and our General Principles
FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London. -
TR15/11: Financial Benchmarks: Thematic Review of Oversight and Controls
This report presents the findings from our thematic review of firms’ oversight and controls in relation to financial benchmarks. -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
FCA fines Bastion Capital London Limited £2.5m for serious financial control failings
The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.