Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 521 to 530 of 834 search results for financial crime risks in trade.

  1. FCA fines RBS and NatWest for failures in mortgage advice process

    Press Releases Published: 27/08/2014 Last modified: 12/09/2014
    This resulted in customers being placed at risk for an even longer period. ... Tracey McDermott, director of enforcement and financial crime at the FCA said:.

  2. FCA secures £350,000 confiscation order against convicted insider dealer

    Press Releases Published: 24/07/2017 Last modified: 24/07/2017
    Today, Her Honour Judge Korner CMG QC sitting at Southwark Crown Court made a confiscation order in the sum of £350,000 against Damian Clarke, a convicted insider dealer. The order must be paid within 3 months or Mr Clarke will face a further 3

  3. FCA publishes Feedback Statement on Distributed Ledger Technology

    Press Releases Published: 15/12/2017 Last modified: 17/11/2023
    The FCA has today published feedback on its Discussion Paper on Distributed Ledger Technology (DLT).

  4. Information on the FCA approval times for people in certain roles

    FOI Release Date of Release: 24/06/2021
    The FCA provides information on the approval times for people in chief executive officer, chief financial officer and chief risk officer roles.

  5. FCA bans and fines former insurance broker £140,000

    Press Releases Published: 19/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

  6. How regulation can prepare the ground for economic growth

    Speeches Published: 27/09/2022 Last modified: 27/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets at the City and Financial Global: The Future of UK Financial Services Regulation Summit.

  7. PS17/16: Regulatory reporting - retirement income data

    Policy statements Published: 21/07/2017 Last modified: 21/07/2017
    This Policy Statement sets out our final rules which require providers of pensions, annuities and income drawdown to report two new data items to us.

  8. FCA issues its first decision under competition law

    Press Releases Published: 21/02/2019 Last modified: 21/02/2019
    The Financial Conduct Authority (FCA) has today issued a decision which finds that 3 asset management firms breached competition law. This is the FCA’s first formal decision under its competition enforcement powers.

  9. FCA fines and bans former RBS trader, Neil Danziger

    Press Releases Published: 08/01/2018 Last modified: 08/01/2018
    The Financial Conduct Authority (FCA) has imposed a financial penalty of £250,000 on former Royal Bank of Scotland (RBS) interest rate derivatives trader, Neil Danziger, and prohibited him from performing any function in relation to any regulated

  10. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.
Related topics