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Showing 321 to 330 of 834 search results for financial crime risks in trade.

  1. A more effective approach to combatting financial crime

    Speeches Published: 21/09/2016 Last modified: 29/09/2016
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the BBA Financial Crime and Sanctions Conference.

  2. Principal trading firms

    Firm authorisation Published: 05/07/2023 Last modified: 18/10/2023
    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.

  3. Electronic money institution applicants

    Firm authorisation Electronic money and payment institutions Published: 09/05/2015 Last modified: 19/06/2024
    Find out what conditions you must meet to become an e-money institution, and what to include in your application to be authorised by or registered with the FCA.

  4. Recent developments in financial markets

    Speeches Published: 01/03/2018 Last modified: 09/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing.

  5. FCA Research into the issue of de-risking

    News stories Published: 24/05/2016 Last modified: 24/05/2016
    to the financial crime risks the customer might pose. ... The report does note some potential pathways towards mitigating this issue may lie in balancing costs and risks between banks and high risk sectors, and a better developed understanding of how

  6. What makes good conduct regulation?

    Speeches Published: 14/02/2017 Last modified: 14/02/2017
    Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School.

  7. FCA fines CGML £27,766,200 for failures in its trading systems and controls

    Press Releases Published: 22/05/2024 Last modified: 22/05/2024
    The FCA has fined Citigroup Global Markets Limited (CGML) £27,766,200.

  8. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

  9. FCA fines TFS-ICAP £3.44 million for market misconduct

    Press Releases Published: 23/11/2020 Last modified: 23/11/2020
    The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

  10. Access to Financial Services in the UK

    Speeches Published: 01/11/2016 Last modified: 01/11/2016
    Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at Access to Financial Services: Launch of FCA Occasional Paper.
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