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Showing 61 to 70 of 442 search results for control of financial crime risks in trade.
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Insights from the 2020 Cyber Coordination Groups
Overview and insight from the latest quarterly Cyber Coordination Group meeting -
RBS fined £87.5 million for significant failings in relation to LIBOR
The Financial Services Authority (FSA) has fined The Royal Bank of Scotland plc (RBS) £87.5 million for misconduct relating to the London Interbank Offered Rate (LIBOR). -
JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades
Tracey McDermott, the FCA’s director of enforcement and financial crime said:. ... There were basic failings in the operation of fundamental controls over a high risk part of the business. -
Carbon credit trading scams
Find out how carbon credit trading works, how to avoid scams and what to do if you’re scammed. -
Financial promotions data 2023
The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for 1 January 2023 to 31 December 2023. -
Tribunal upholds FSA decision to fine firm £8m for market abuse
The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as -
Insights from the 2021 Cyber Coordination Groups
An overview of insights arising from the discussions held at the FCA’s quarterly Cyber Coordination Group (CCG) meetings throughout 2021. -
Personal accountability
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ -
Regulating innovation: a global enterprise
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Innovate Finance 2018. -
Regulatory Sandbox accepted firms
Firms that have been accepted into the Regulatory Sandbox, including previous cohorts.