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Showing 31 to 40 of 442 search results for control of financial crime risks in trade.
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Leadership and conduct
Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version. -
Market Watch 73
In this edition we share our observations and findings from our recent market abuse peer review into firms that offer Contracts for Difference products and spread bets. -
FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings
We have fined JLT Specialty Limited (JLTSL) £7,881,700 for financial crime control failings. -
FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading
We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering. -
FCA fines Bastion Capital London Limited £2.5m for serious financial control failings
The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading. -
Business Plan 2024/25
Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
Shifting the dial on financial crime requires a collective push
Collaborative action across four areas of focus can help shift the dial in our efforts to fight financial crime. -
Cum-ex trades investigations information – October 2021
FCA provides cum-ex trades investigations information. -
Teamwork: A Smart way to tackle financial crime
Speech by Steve Smart, FCA joint executive director of enforcement and market oversight, delivered at the Financial Services Investigations and Enforcement Summit. -
Sustainability
Speech by Tracey McDermott, Director of Enforcement and Financial Crime, the FCA, at the Thomson Reuters Compliance & Risk Summit, London. ... it is launched, under investment in system and controls, or opaque and ineffective governance structures it is