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Showing 251 to 260 of 442 search results for control of financial crime risks in trade.
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Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
Speech: Beyond economics?
algorithms for data driven variable selection to pick risk predictors that are tractable and optimally trade off the inand out of sample predictive power. ... risk, valuation, reward, cooperation, fear.). An interesting example of retina scanning is work -
FCA appoints members for the UK Secondary Markets Advisory Committee
The FCA has appointed the members of its advisory committee on secondary markets for the period June 2024 to June 2026. -
Invesco Perpetual fined £18.6 million for failings in fund management
The Financial Conduct Authority (FCA) has fined Invesco Asset Management Limited and Invesco Fund Managers Limited (Invesco Perpetual) £18,643,000 for exposing investors to greater levels of risk than they ... Failed to monitor whether trades were -
Restrictions placed on Dolfin Financial (UK) Ltd
The FCA has imposed a number of restrictions on Dolfin Financial (UK) Ltd, stopping it from carrying on any regulated activities due to concerns about the way it conducts its business. -
TR14/16 – How small banks manage money laundering and sanctions risk: update
This report follows the Financial Services Authority’s 2011 report on Bank’s management of high money-laundering risk situations (the 2011 AML review) and the subsequent enforcement action and regulatory guidance. -
Land banking investment scams
Find out how land banking investments work, how to avoid scams and what to do if you’re scammed. -
Asset management portfolio tools
This report sets out our review findings of how firms in the asset management sector selected and used risk modelling and other portfolio management tools. -
Realising the benefits of purposeful leadership
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham. -
Global regulation in the post-crisis era
Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.