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Showing 411 to 420 of 834 search results for financial crime risks in trade.

  1. Share, bond and boiler room scams

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how share and bond scams work, how to avoid them and what to do if you’re scammed.

  2. Penalties, remediation, and our General Principles

    Speeches Published: 13/02/2020 Last modified: 13/02/2020
    FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London.

  3. Enforcement data – Annual Report 2020/21

    Data Published: 15/07/2021 Last modified: 15/07/2021
    This FCA enforcement data for the year 2020/21 forms part of the FCA's annual report 2020/21.

  4. Realising the benefits of purposeful leadership

    Speeches Published: 01/11/2018 Last modified: 01/11/2018
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at the CCTA 2018 Conference, Nottingham.

  5. Regulating the UK as a global financial centre

    Speeches Published: 13/04/2021 Last modified: 26/04/2021
    Speech delivered by Nausicaa Delfas, Executive Director of International at City & Financial Global’s Virtual Summit.

  6. FCA secures £130,000 to return to investors

    Press Releases Published: 17/05/2023 Last modified: 19/05/2023
    The FCA has secured two orders to return over £130,000 to victims of unauthorised investment arrangements and advice.

  7. London Capital and Finance plc

    News stories Published: 14/08/2019 Last modified: 02/02/2022
    On 30 January 2019, London Capital and Finance plc (LCF) appointed joint administrators who will contact all affected parties in due course

  8. Alternative investment fund manager (AIFM) hosting

    Firms Published: 25/03/2024 Last modified: 25/03/2024
    Information for AIFMs using the host model to manage alternative investment funds (AIFs), known as AIFM hosting.

  9. Investment Funds, Markets Liquidity and the Investor

    Speeches Published: 24/03/2016 Last modified: 23/06/2016
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at The 9th Financial Risk International Forum in Paris on 21 March 2016. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Apply to become a pre-paid funeral plans firm

    Firms Published: 11/06/2021 Last modified: 04/12/2023
    If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply.
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