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Showing 591 to 600 of 619 search results for under the Senior Managers Regime.
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RBS fined £87.5 million for significant failings in relation to LIBOR
The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR). -
PS21/11: General insurance pricing practices - amendments
In May 2021, we published PS21/5 which set out our final rules to address the harm we had found in our GI Pricing Practices Market Study. On 18 August, we published PS21/11, making minor changes to these rules. -
Ten years after Lehman: how accountants can make finance safer
Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer. -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU -
FCA finds further work required to fully embed ‘Guiding Principles’ for ESG and sustainable investment funds
A review by the FCA has found that while most Authorised Fund Managers (AFMs) have made efforts to comply with the FCA’s expectations on the design, delivery, and disclosure of their ESG and sustainable funds, further improvement is needed. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
Two brokers (including one manager) were central to the collusion, although at least three other individuals (including two managers) spanning two desks played a role. ... Benchmark reference rates such as LIBOR also affect payments made under a wide -
FCA to introduce new Consumer Duty to drive a fundamental shift in industry mindset
Our plans will ensure a higher and more consistent standard of consumer protection for users of financial services and help to stop harm before it happens. -
FS23/3: Government-regulator response to ‘Value for Money: A framework on metrics, standards and disclosures'
FCA, DWP and TPR's joint response to feedback received and next steps. -
PS18/23: Claims management: how we will regulate claims management companies
Our Policy Statement sets out the conduct, rules and fees we’ll apply to claims management companies (CMCs) from April 2019.