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Showing 421 to 430 of 442 search results for control of financial crime risks in trade.
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ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry. ... IEL's risk management systems and controls were inadequate to monitor and -
Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA
The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA). -
Retail banking: our review of Basic Bank Accounts
We have reviewed how retail banks provide information about Basic Bank Accounts. -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
Tracey McDermott, director of enforcement and financial crime, said:. "SEI has committed a serious breach by failing to comply with our client money rules for over five years. ... Firms that hold client assets should ensure they continue to strengthen -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs) -
FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA. -
How innovation and regulation in financial services can drive the UK's economic growth
Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023. -
How can we ensure that Big Data does not make us prisoners of technology?
Speech by Charles Randell, Chair, Financial Conduct Authority and Payment Systems Regulator, delivered at Reuters Newsmaker event, London.