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Proceeds of fraud - Detecting and preventing money mules
We share the key findings from our review of payment account providers’ systems and controls against money mule activity. -
Supporting material for applications by consumer credit, mortgage and other consumer finance firms
If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything. -
Assessing liquidity for orderly wind-down: good and poor practices from general insurance brokers
We set out findings of our multi-firm review of general insurance brokers, where we have identified areas for improvement which firms can learn from. -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings
The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering -
TR15/10: Fair treatment for consumers who suffer unauthorised transactions
lack of clear policies for complex cases and a heavy reliance in a small number of firms on experienced staff. ... They also face obstacles when remembering multiple PINs (Personal Identification Numbers) and/or passwords in relation to their account(s), -
A regulatory perspective: the drivers of culture and the role of purpose and governance
Marc Teasdale speaks on regulatory perspective, the driver of cultures and the role of purpose and governance. -
TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets
We have surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest by dark pool ... operators. Equity market dark pools have -
Consumer Duty implementation: good practice and areas for improvement
What firms are doing well and what they could do better. -
Review of TCFD-aligned disclosures by premium listed commercial companies
Following the introduction of a climate-related disclosure rule as a first step to improving the quality and quantity of disclosures across the corporate sector, we outline our preliminary observations and reiterate our expectations.