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Showing 501 to 510 of 834 search results for financial crime risks in trade.

  1. Consumer warning on Northern Provident Investments

    News stories Published: 06/08/2021 Last modified: 15/06/2022
    Northern Provident Investments Ltd has proposed entering creditors’ voluntary liquidation. The FCA believes there is a high risk of scammers trying to take advantage of customers

  2. Coronavirus (Covid-19): Information for firms on working with consumers and clients

    Published: 10/12/2020 Last modified: 10/12/2020
    Information for firms on the impact of coronavirus on consumers, including access to cash, accessing restricted savings and handling consumer claims.

  3. Kenneth Carver fined £35,212 for insider dealing

    Press Releases Published: 30/03/2015 Last modified: 30/11/2016
    Carver knew that there was a risk of market abuse and traded anyway. ... He used his own funds to place a trade on Willmott’s behalf and knew that Willmott had a financial incentive to persuade him to trade.

  4. FS23/6: Artificial Intelligence and Machine Learning

    Feedback statements Published: 26/10/2022 Last modified: 26/10/2023
    We asked for your input on the role supervisory authorities should have in supporting the safe and responsible adoption of AI in UK financial services..

  5. TR19/4: Understanding the money laundering risks in the capital markets

    Thematic reviews Published: 10/06/2019 Last modified: 11/06/2019
    We carried out this thematic review to look at the money-laundering risks and vulnerabilities in the capital markets and, where possible, to develop case studies to help inform the industry.

  6. FCA sets out its approach to the share trading obligation

    Press Releases Published: 04/11/2020 Last modified: 04/11/2020
    We confirm our approach to the STO) at the end of the Brexit transition period, if mutual equivalence is not agreed.

  7. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    Through this efficient allocation of capital and risk, the economy grows in a stable and long-term way.It is worth adding that for financial services firms to deliver this positive ... Moreover, financial innovation is needed to support technological

  8. Statement of Policy: listed companies and recapitalisation issuances during the coronavirus crisis

    Statements Published: 08/04/2020 Last modified: 28/06/2022
    The FCA today announces a series of measures aimed at assisting companies to raise new share capital in response to the coronavirus crisis while retaining an appropriate degree of investor protection.

  9. FCA urges public to report and speak out against fraudulent investment schemes

    Press Releases Published: 25/10/2017 Last modified: 25/10/2017
    More than a fifth (22%) of those contacted by a suspected fraudulent investment firm stay silent   Brits are more likely to report fly-tipping (81%) than investment scams (63%) Londoners report the most investment scams to the FCA followed by

  10. FCA fines US based oil trader US $903K for market manipulation

    Press Releases Published: 22/07/2013 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has fined US based High Frequency Trader, Michael Coscia, US $903,176 (£597,993) for deliberate manipulation of commodities markets.
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