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Showing 381 to 390 of 834 search results for financial crime risks in trade.
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Financial conduct regulation in a restless world
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow. -
Aiming for calm seas in our market reforms
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at TheCityUK's City Week 2024 conference. -
Liquidity management for investment firms: good practice
The FCA has been working with the Bank of England, at the request of the Financial Policy Committee (FPC), to assess risks posed by open-ended investment funds investing in the fixed income sector. As part of this work we have engaged with a number -
Andrew Bailey speech at Lord Mayor’s City Banquet
Andrew Bailey speech at the Lord Mayor's City Banquet at Mansion House. -
FCA fines Threadneedle Asset Management Limited £6m
The FSA was concerned about, among other things, the number of errors occurring in that area as well as the risks of fund managers initiating, booking and executing their own trades. ... TAML’s outsourced back office identified the problem and did not -
FCA fines and prohibits trader for market abuse
The FCA has fined Mr Adrian Geoffrey Horn for market abuse and prohibited him from performing any functions in relation to regulated activity. -
Restrictions placed on Dolfin Financial (UK) Ltd
The FCA has imposed a number of restrictions on Dolfin Financial (UK) Ltd, stopping it from carrying on any regulated activities due to concerns about the way it conducts its business. -
2017 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. -
Four building blocks of efficient capital markets
Speech by David Lawton, Director of Markets, FSA at the Practising Law Institute Conference -
Financial promotions quarterly data 2023 Q2
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 April 2023 and 30 June 2023.