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Showing 411 to 420 of 442 search results for control of financial crime risks in trade.
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Review on disclosure of costs by asset managers
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
Drivers of change in the financial services industry and how we are responding
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the CDO Exchange for Financial Services. -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
An evaluation of bringing additional benchmarks into the regulatory and supervisory regime
In this paper, we evaluate the Benchmarks (Amendment) Instrument 2015, which brought seven benchmarks into our regulatory and supervisory regime. -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA. -
FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings
The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes. -
List of employers’ liability insurers
Financial Services Compensation Scheme, 7th Floor, Lloyds Chambers Portsoken Street London E1 8BN. ... Regulated. YES. www.elto.org.uk. 202639. Financial Insurance Company Limited. United Kingdom. Regulated. -
FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies
The Financial Services Authority (FSA) has published the results of a mystery shopping review, carried out between March and September 2012, looking into the quality of investment advice given by banks and building societies. -
FG16/5: Guidance for firms outsourcing to the ‘cloud’ and other third party IT services
In November 2015, the FCA consulted on guidance to clarify the requirements on firms when outsourcing to the ‘cloud’ and other third party IT services. The FCA published the final guidance (FG16/5) in July 2016. -
Enhancing the UK’s capital markets – The FCA’s role and priorities
Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit.