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Showing 92 to 101 of 161 search results for significant fine on insurance broker.
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Fines
Table of fines with links to further information. -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA. -
Speech: Shadow banking - the potential risks and rewards
Shadow banking offers the prospect of significant welfare gains for society – if we monitor it carefully. ... For brevity, I list the institutions only:. global banks. broker-dealers. money market mutual funds. -
FSA fines The Co-operative Bank plc for failing to handle PPI complaints fairly
The Financial Services Authority (FSA) has fined The Co-operative Bank plc (Co-op) £113,300 for failing to handle payment protection insurance (PPI) complaints fairly. -
FCA bans and fines trader £662,700 for manipulating gilt price during QE
FCA bans and fines trader £662,700 for manipulating gilt price during QE. ... Without this discount, the FCA would have imposed a fine of £946,800. -
Besso Limited fined for anti-bribery and corruption systems failings
The FCA found that Besso, a general insurance broker, operated a weak control environment surrounding the sharing of commissions with third parties which gave rise to an unacceptable risk that they ... The FCA is currently undertaking a thematic review -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010
The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka. -
Former senior trader sentenced for insider dealing
In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months -
FCA publishes its Annual Funding Requirement for 2013/14
The Financial Conduct Authority (FCA) has announced its Annual Funding Requirement (AFR) for 2013/14. On 1 April 2013 the FCA and the Prudential Regulation Authority (PRA) replaced the Financial Services Authority (FSA). The Bank of England has -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.