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Showing 161 to 170 of 834 search results for financial crime risks in trade.

  1. Financial Crime Conference 2016

    Events Last modified: 06/12/2016
    This conference was held in London for MLROs, senior management and compliance practitioners from regulated firms, and other interested parties.

  2. Expectations of firms offering fractional shares to retail investors

    Firms Published: 01/12/2023 Last modified: 01/12/2023
    FCA's expectations under the Consumer Duty for firms offering fractional shares.

  3. CP20/17: Extension of Annual Financial Crime Reporting Obligation [pdf]

    Consultation papers Published: 24/08/2020 Last modified: 24/08/2020
    We are considering extending the scope of our annual financial crime reporting obligation to include firms that carry on regulated activities that potentially pose a higher money laundering risk.

  4. Future into focus

    Speeches Published: 19/09/2013 Last modified: 19/09/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, at the International Swaps and Derivatives Association (ISDA) conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Russian invasion of Ukraine: financial sanctions and information

    Last modified: 06/09/2023
    Information for firms and market participants to consider following Russia's invasion of Ukraine

  6. UK EMIR library

    Markets Markets policy Published: 23/05/2016 Last modified: 12/03/2024
    To help understand your firm’s requirements, see our links to useful information on UK European Market Infrastructure Regulation (UK EMIR), including statutory information and Handbook guidance for implementing UK EMIR.

  7. Financial crime in the payments and e-money sector: webinar

    Events Published: 03/07/2023 Last modified: 03/07/2023
    Webinar with the UK Financial Intelligence Unit on financial crime in the payments and e-money sector .

  8. Balance of interests

    Speeches Published: 26/06/2013 Last modified: 18/01/2017
    Speech by Martin Wheatley, Chief Executive, the FCA, at the International Derivatives Expo, London. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Claims management companies

    Claims management companies Last modified: 13/03/2023
    On 1 April 2019 the FCA will become the regulator of claims management companies in England, Wales and Scotland. Find out more.

  10. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... As I’ve said before, firms must take their responsibility to reduce the risk
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