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Showing 461 to 470 of 834 search results for financial crime risks in trade.

  1. Individual sentenced to four years for insider dealing

    Press Releases Published: 11/03/2013 Last modified: 05/04/2023
    In a prosecution brought by the Financial Services Authority (FSA) and heard at Southwark Crown Court Richard Joseph, age 43, has been found guilty of 6 counts of conspiracy to deal as an insider.

  2. Statement re: promotion of shares in EMMIT plc

    Press Releases Published: 31/10/2014 Last modified: 21/11/2016
    The FCA has serious concerns that investors’ pensions are being put at risk. ... In the past, the FCA has asked SIPP operators to be vigilant and do proper due diligence to assess higher risk and unusual investments.

  3. Whistleblowing qualitative assessment survey 2022

    Data Published: 04/05/2023 Last modified: 04/05/2023
    This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to

  4. Total Debt Relief Limited (TDR) in liquidation

    News stories Published: 13/09/2018 Last modified: 10/05/2019
    The Financial Conduct Authority (FCA) has obtained a compulsory court order for the winding up of Total Debt Relief Ltd (TDR) on public interest grounds. This follows earlier action by the FCA to obtain an urgent High Court Order appointing a

  5. Consumer warning about the risks of investing in binary options

    News stories Published: 14/11/2017 Last modified: 03/01/2018
    The FCA is issuing this warning to inform consumers about the risk of investing in these high-risk, speculative products. From 3 January 2018, firms offering binary options in or from the UK must be authorised by the FCA.

  6. Get-rich-quick, Ponzi and pyramid schemes

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how get-rich-quick schemes like Ponzi and pyramid schemes work, how to avoid scams and what to do if you’re scammed.

  7. St Machar Credit Union’s (SMCU) use of personal accounts

    Statements Published: 09/03/2015 Last modified: 09/03/2015
    SMCU’s failure to put in place adequate risk management systems commensurate to the nature of its business exposed its members to the risk of financial crime. ... St. Machar failed to recognise the risks associated with this action and failed to

  8. Expect the unexpected: cyber security in 2017 and beyond

    Speeches Published: 24/04/2017 Last modified: 27/07/2017
    Speech by Nausicaa Delfas, Executive Director at the FCA, delivered at the Financial Information Security Network.

  9. The public offer platform - Engagement Paper 5

    Calls for input Published: 13/07/2023 Last modified: 12/12/2023
    We are asking for views on our initial thinking about rules for the new regulated activity of operating a public offer platform under the new public offers and admission to trading regime.

  10. Financial counterparties: EMIR timely confirmation and bilateral risk mitigation

    Markets policy Published: 27/07/2016 Last modified: 11/01/2023
    See common challenges and successes for financial counterparties in complying with the timely confirmation and bilateral risk mitigation requirements.
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