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Showing 261 to 270 of 442 search results for control of financial crime risks in trade.

  1. FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly

    Press Releases Published: 24/02/2015 Last modified: 24/02/2015
    The conflicts of interest and risks inherent in the side-by-side management of funds require robust risk management systems and controls. ... However the FCA found that there were significant weaknesses in Aviva Investors’ risk management framework and

  2. TR19/2: General insurance distribution chain

    Thematic reviews Published: 10/04/2019 Last modified: 11/09/2023
    The FCA sets out the key findings from our thematic work on the general insurance distribution chain, its expectations of firms and next steps.

  3. Ageing population and financial services

    Speeches Published: 16/10/2017 Last modified: 16/10/2017
    Speech by Linda Woodall, Director of Life Insurance and Financial Advice, delivered at the Ageing Population Occasional Paper launch event. 

  4. Recent developments in financial markets

    Speeches Published: 01/03/2018 Last modified: 09/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing.

  5. Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers

    Press Releases Published: 28/02/2022 Last modified: 28/02/2022
    Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient.

  6. HomeServe fined £30 million for widespread failings

    Press Releases Published: 13/02/2014 Last modified: 13/02/2014
    Tracey McDermott, the FCA’s director of enforcement and financial crime, said. ... It breached Principle 3 by failing to take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems.

  7. Penalties, remediation, and our General Principles

    Speeches Published: 13/02/2020 Last modified: 13/02/2020
    FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London.

  8. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

  9. UK EMIR reporting questions and answers

    Published: 02/05/2024 Last modified: 13/06/2024
    Guidance for reporting under the revised UK EMIR Article 9 reporting requirements.

  10. Reforming our capital markets ecosystem

    Speeches Published: 29/03/2023 Last modified: 08/01/2024
    Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit.
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