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Showing 91 to 100 of 172 search results for significant failings in relation to LIBOR.
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Tribunal upholds FCA fine on firm for misselling complex investments
The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to fine Scottish firm Westwood Independent Financial Planners (Westwood) £100,000 for communications and suitability failings in ... We take the view that a -
UBS fined £9.45m for failings in its sale of an AIG fund
The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund. -
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. -
Surveillance: The FCA's expectations and toolkits
Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
The institutionalisation of customer service
Speech by Martin Wheatley - Managing Director, Conduct Business Unit at the Chartered Institute for Securities & Investment -
Deutsche Bank fined £4.7m for failing to properly report transactions
issued Deutsche with a private warning in relation to other similar transaction reporting failures. ... The size of the fine reflects the very significant number of misreported transactions. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Chairman's speech to the Trust in Banking Conference
Speech by John Griffith Jones, Chairman, FCA, delivered at the Trust in Banking Conference, organised by Cambridge Judge Executive Education at the London Stock Exchange. This is the text of the speech as drafted, which may differ from the delivered -
Primary Market Bulletin 33
Welcome to the 33rd edition of the Primary Market Bulletin (PMB). -
Whistleblowing qualitative assessment survey 2022
This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to