Search results
Showing 271 to 280 of 442 search results for control of financial crime risks in trade.
-
FCA updates position on cryptoasset Exchange Traded Notes for professional investors
The FCA will not object to requests from Recognised Investment Exchanges (RIEs) to create a UK listed market segment for cryptoasset-backed Exchange Traded Notes (cETNs). These products would be available for professional investors, such as -
Commodity derivatives: position limits, reporting regime and commitment of trader reports
This regime for commodity derivatives aims to prevent market abuse. Read more about position limits, when to notify the FCA and submitting reports. -
GC15/1 Risks to customers from performance management at firms
whether their governance and controls are adequate, and. take action where required to ensure the risks are adequately managed. ... London E14 5HS. Telephone: 020 7066 4202. In March 2014, we published our thematic report into financial incentives, which -
Aiming for calm seas in our market reforms
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK's City Week 2024 conference. -
Four building blocks of efficient capital markets
Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference -
Our approach to consumers
Our Approach to Consumers sets out how we use our powers and tools to protect consumers of financial services, in line with our consumer protection objective. -
Financial watchdog puts banks on alert in fight against money laundering via the Post Office
A series of measures designed to reduce the risk of money laundering via the Post Office have today been set out by the FCA. -
Financial conduct regulation in a restless world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow. -
FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse
The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse. -
Financial promotions quarterly data 2023 Q2
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 April 2023 and 30 June 2023.