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Showing 291 to 300 of 442 search results for control of financial crime risks in trade.
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CP23/27: Reforming the commodity derivatives regulatory framework
This consultation sets out our proposals concerning position limits, the exemptions from those limits, position management controls, the reporting regime and the ancillary activities test. -
Improving the suitability of financial advice
Speech by Debbie Gupta, Director of Life Insurance and Financial Advice Supervision at the FCA, delivered at Money Marketing Interactive Conference 2019, Harrogate. -
FCA fines Goldman Sachs International £34.3 million for transaction reporting failures
Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017. -
A sustainable conduct environment
Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Conduct risk during LIBOR transition
Questions and answers for firms on conduct risk during LIBOR transition. -
Review into change and innovation in the unsecured credit market (the Woolard Review)
Information about our review of unsecured credit market regulation, chaired by Christopher Woolard CBE -
Debt purchaser Motormile Finance agrees to redress package
Motormile Finance UK Limited, a debt purchase and collections firm, has entered into an agreement with the Financial Conduct Authority (FCA) to provide redress to more than 500,000 customers for historic failures in its due diligence and collections -
Consumer Credit Seminar
Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA. -
Apply to become a pre-paid funeral plans firm
If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply. -
Cryptoasset registration: information for applicants
The FCA's requirements and expectations of cryptoasset businesses for AML/CTF regime registration.