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Showing 61 to 70 of 194 search results for control of financial crime risks in trade finance.
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Regulation for a different world
Speech by our CEO, Nikhil Rathi, on Regulation for a Different World at the Association of Foreign Banks. -
Remote or hybrid working: FCA expectations for firms
It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities. -
FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in -
Turning technology against financial crime
Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at the Royal United Services Institute, London. -
FCA fines Sunrise Brokers LLP £642,400 for serious financial crime control failings in relation to cum-ex trading
Sunrise Brokers LLP has been fined over £600,000 for deficient anti money laundering systems and controls -
The changing face of financial crime
Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London. -
Reducing and preventing financial crime
We are providing an update on our progress and looking ahead to identify 4 areas of focus in the coming year. -
Principal trading firms
Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application. -
Market Watch 73
In this edition we share our observations and findings from our recent market abuse peer review into firms that offer Contracts for Difference products and spread bets. -
Apply to become a consumer investments firm
Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform.