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Showing 291 to 300 of 834 search results for financial crime risks in trade.

291. The power of benchmarks: an analysis of the ICE swap rate

     Insight Published: 03/07/2017 Last modified: 03/07/2017
     In March 2015, the UK’s regulated benchmark regime was expanded to include seven additional financial benchmarks – among them the ICE swap rate. ... In other words, it is cheaper to trade electronically under the ICE swap rate regime.

292. Securitisation Repositories

     Markets Markets policy Published: 20/09/2020 Last modified: 10/01/2024
     A Securitisation Repository (SR) is a legal entity that centrally collects and maintains the records of securitisations. Read more on how to apply.

293. Non-financial counterparties subject to EMIR: 2013 review

     Markets policy Published: 27/07/2016 Last modified: 11/01/2023
     Read the FCA's 2013 review of how non-financial counterparties (NFCs), which are a part of a group with entities that are financial counterparties (FCs), are calculating the clearing threshold and complying with EMIR.

294. Personal data and enforcement

     Last modified: 22/02/2023
     How and why the FCA uses personal data to carry out its enforcement functions.

295. Effective global regulation in capital markets

     Speeches Published: 05/12/2017 Last modified: 11/04/2018
     Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London

296. Sensitive business names

     Tasks for firms Published: 13/09/2015 Last modified: 08/05/2024
     See a list of sensitive words relating to financial services and learn how to request our view if you propose to use of any of these terms in your business name.

297. Consumer Duty firm survey – Spring 2023

     Data Published: 28/06/2023 Last modified: 28/06/2023
     The FCA commissioned Ipsos UK to undertake an anonymous survey of 1,230 firms in scope of the Consumer Duty. This survey adds to the FCA's understanding of how prepared firms are for when the Duty comes into force for products and services that are

298. FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings

     Press Releases Published: 02/10/2023 Last modified: 02/10/2023
     The broker has been fined for inadequate anti-money laundering (AML) systems and controls.

299. Independence, confidence and fairness

     Speeches Published: 04/02/2016 Last modified: 04/02/2016
     Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

300. Innovation and improving outcomes

     Speeches Published: 17/06/2016 Last modified: 17/06/2016
     Speech by Christopher Woolard, Director of Strategy and Competition, delivered at the Global Digital Banking Conference on 16 June 2016 in London.