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Showing 111 to 120 of 834 search results for financial crime risks in trade.

111. FSA issues fines totalling £4.2m for transaction reporting failures

     Press Releases Published: 08/04/2010 Last modified: 22/07/2013
     The Financial Services Authority (FSA) has fined three firms a total of £4.2m for failing to provide accurate and timely transaction reports to the FSA.

112. FCA reveals next round of successful firms in its regulatory sandbox

     Press Releases Published: 05/12/2017 Last modified: 06/12/2017
     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.

113. FCA reveals the fourth round of successful firms in its regulatory sandbox

     Press Releases Published: 03/07/2018 Last modified: 11/04/2024
     The FCA has announced the 29 firms that were successful in their applications to begin testing in the fourth cohort of the sandbox.

114. Chief Executive speaks at APM about recent work and future challenges

     Speeches Published: 20/07/2016 Last modified: 20/07/2016
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting.

115. Drivers of change in the financial services industry and how we are responding

     Speeches Published: 02/11/2021 Last modified: 19/08/2022
     Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the CDO Exchange for Financial Services.

116. FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading

     Press Releases Published: 15/07/2022 Last modified: 15/07/2022
     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

117. State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings

     Press Releases Published: 31/01/2014 Last modified: 31/01/2014
     State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings. ... Tracey McDermott, director of enforcement and financial crime, said:. “The findings we publish today are another example of a firm that has acted with

118. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

     Press Releases Published: 15/05/2014 Last modified: 22/03/2016
     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

119. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... The firms were a significant beneficiary of financial assistance from the Bank of England through the SLS.

120. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

     Press Releases Published: 08/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and