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Showing 201 to 210 of 442 search results for control of financial crime risks in trade.
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Loan-based crowdfunding platforms: summary of our rules
The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities. -
Pension scheme operators are at risk from smarter scams
The FCA highlights risks from authorised firms failing to carry out appropriate due diligence on investment offerings. -
Regulation of Digital Assets in the UK
Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at City Week 2023. -
A reminder to FCA-regulated firms and issuers after developments in Ukraine
Firms should be aware of the possible impact these events may have on patterns of financial activity when they assess risks related to particular customers and flows of funds. ... We expect firms to establish and maintain systems and controls to counter -
Apply to become a general insurance intermediary
Learn how to apply to the FCA for authorisation if you're a general insurance intermediary, Lloyds and London Market Intermediary or a price comparison website. -
Besso Limited fined for anti-bribery and corruption systems failings
The Financial Conduct Authority (FCA) has fined Besso Limited £315,000 for a failure to take reasonable care to establish and maintain effective systems and controls for countering the risks of ... Firms must play their part in preserving the integrity -
Apply to become a consumer investments firm
Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform. -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight. -
Regulatory priorities for retail banking
Speech delivered by Karina McTeague, Director of Retail Banking Supervision at the FCA, at the Westminster Business Forum on retail banking and payments. -
Non-financial counterparties subject to EMIR: 2014 review
The findings from the FCA's 2014 review on how non-financial counterparties (NFCs) calculate the clearing threshold and how they are complying with European Market Infrastructure Regulation (EMIR).