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Showing 51 to 60 of 442 search results for control of financial crime risks in trade.
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Forex trading scams
Find out how unauthorised forex trading and brokerage firms work, how to avoid scams and what to do if you’re scammed. -
Learning the lessons of the past as an industry
Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at the FCA’s Enforcement Conference, London. ... that underpinned them and the controls that failed to identify or manage the -
FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading
The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case -
Shaping the rules for a data-driven future
Speech by our Chief Executive, Nikhil Rathi at the Dutch Authority for the Financial Markets (AFM) 20th anniversary seminar. -
Our approach to supervision
Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public. -
FCA fines UBS AG £27.6 million for transaction reporting failures
UBS AG (UBS) has been fined £27,599,400 by the Financial Conduct Authority (FCA) for failings relating to 135.8 million transaction reports between November 2007 and May 2017. -
Business Plan 2022/23
The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
Binary options scams
Find out how binary options work, how to avoid scams and what to do if you’re scammed. -
2018 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2018.