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Showing 101 to 110 of 834 search results for financial crime risks in trade.
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The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Consumer Investments Strategy – 1 year update
The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading
We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering. -
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. -
Effective compliance with the Market Abuse Regulation – a state of mind
to also ask whether the institution has properly considered its regulatory obligations (set out in SYSC6.1.1R) to counter the risk of financial crime. ... This might include, for example, whether the firm has refreshed its risk-based analysis of that -
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. -
FCA fines Commerzbank London £37,805,400 over anti-money laundering failures
The FCA has today fined Commerzbank AG (London Branch) £37,805,400 for failing to put adequate anti-money laundering (AML) systems and controls in place between October 2012 and September 2017. -
JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades
These losses arose as a result of what became known as the “London Whale” trades, and were caused by a high risk trading strategy, weak management of that trading and an ... Tracey McDermott, the FCA’s director of enforcement and financial crime -
FCA places restrictions on twice as many consumer investment firms this year
The FCA has placed restrictions on twice as many firms in the investment market compared to last year, as part of its strategy designed to prevent harm in the consumer investment market. -
Exploring Synthetic Data Validation – privacy, utility and fidelity
This paper explores the insights from a roundtable event hosted by the FCA, the Information Commissioner’s Office, and the Alan Turing Institute.