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Showing 611 to 620 of 678 search results for these 6 LIBOR settings will.
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FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
Had SEI become insolvent, these failings could have led to complications and delay in distribution and placed client money at risk. ... We will continue to take action to ensure that procedures at firms meet our client asset requirements and action will -
FSA publishes guidance to help firms avoid poorly managed incentive schemes that drive mis-selling
The Financial Services Authority (FSA) has published final guidance that will help financial firms avoid creating and operating incentives schemes that drive mis-selling. -
CP19/26: Draft technical standards on the content and format of STS notifications under the onshored Securitisation Regulation
This is the first consultation paper (CP) setting out our proposed technical standards for the onshored Securitisation Regulation. -
Ensuring the UK remains open for business – requirements for foreign-owned firms
Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Insurance brokers: serving consumers and businesses in times of uncertainty and change
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference. -
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud
The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness
Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference. -
PS15/26: Implementation of the Transparency Directive Amending Directive (2013/50/EU) and other Disclosure Rule and Transparency Rule changes
Policy Statement 15/26 (PDF). This Policy Statement will be of interest to:. ... The changes will affect all issuers of securities and vote holders who are subject to these rules. -
The Financial Conduct Authority warns clients of three debt management firms to review their debts
These firms have failed to comply with the requirements we put in place to provide written statements to customers setting out their debt position. ... These firms are no longer permitted by the FCA to offer debt management services to customers.