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Showing 221 to 230 of 442 search results for control of financial crime risks in trade.
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Credit unions carrying out consumer credit activities
Find out how to notify the FCA or apply for permission to carry out Conditional Sale, Hire Purchase or other types of consumer credit activity. -
Regulatory Developments and the Changing Market Structure
Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
Networks play an important role in financial services and it is critical that they have access to quality management information and risk-focussed systems and controls so that they can effectively ... Tracey McDermott, the FCA’s director of Enforcement -
TR14/17 – Managing bribery and corruption risk in commercial insurance broking: update
This report follows the Financial Services Authority’s 2010 report on Anti-bribery and corruption in commercial insurance broking and our subsequent regulatory guidance and enforcement action. -
Reporting requirements: payment service providers and e-money issuers
The FCA provides the information and data we need from you to meet your regular reporting requirements, including details on how to submit your report. -
Charles Randell speech at the Annual Public Meeting 2018
Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Annual Public Meeting at the QEII Centre, Westminster. -
Joint statement from UK financial regulatory authorities on sanctions and the cryptoasset sector
The UK, in partnership with our allies across the globe, has imposed an unprecedented package of economic sanctions on Russia and Belarus, in response to Russia’s invasion of Ukraine on 24 February. -
2017 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. -
Anti-fraud controls and complaint handling in firms (with a focus on APP Fraud)
This publication sets out the key findings from our review of how firms mitigate the risks of APP fraud and fraud attacks more broadly. -
FCA fines and restricts W H Ireland Limited for market abuse risks
deficient compliance oversight, including the absence of formal risk management framework for market abuse and inadequate post-trade surveillance systems, in which parameters did not match WHI’s specific business activities ... In addition, throughout