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Showing 91 to 100 of 442 search results for control of financial crime risks in trade.
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Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
The FCA's response to COVID-19 and expectations for 2020
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival. -
FCA reveals next round of successful firms in its regulatory sandbox
The Financial Conduct Authority (FCA) today unveils the firms that were successful in their applications to begin testing in the third cohort of the sandbox. -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR
Tracey McDermott, director of enforcement and financial crime, said:. “Interdealer brokers are expected to act as trusted intermediaries and are key conduits of market information. ... Martins’ risk management systems and controls were inadequate to -
FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately -
The FCA’s approach to supervising wealth management and private banking firms
Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme
The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358 -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... The firms failed to identify, manage or control the relevant risks or meet proper standards of market conduct in relation to both the Repo Rate and LIBOR benchmarks. -
CP24/9: Financial Crime Guide updates
The FCA is consulting on proposed changes to our Financial Crime Guide.