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Showing 551 to 560 of 834 search results for financial crime risks in trade.

  1. Ensuring the fair treatment of customers in vulnerable circumstances

    Firms Published: 16/06/2022 Last modified: 16/06/2022
    The positive steps firms have taken to embed FCA guidance and the areas where we expect to see improvement.

  2. TR15/1: Asset management firms and the risk of market abuse

    Thematic reviews Published: 18/02/2015 Last modified: 10/11/2023
    This paper presents our findings from the thematic review of how asset management firms control the risk of committing market abuse.

  3. CP21/13: A new Consumer Duty

    Consultation papers Published: 13/05/2021 Last modified: 11/08/2023
    We consult on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards customers

  4. Former equities trader pleads guilty to insider dealing

    Press Releases Published: 15/03/2016 Last modified: 05/04/2023
    Damian Clarke, a former equities trader at Schroders Investment Management Limited, pleaded guilty at Southwark Crown Court to nine counts of insider trading.

  5. FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud

    Press Releases Published: 17/12/2007 Last modified: 08/11/2016
    The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in

  6. List of employers’ liability insurers

    General insurers and insurance intermediaries Published: 18/04/2016 Last modified: 19/04/2016
    Financial Services Compensation Scheme, 7th Floor, Lloyds Chambers Portsoken Street London E1 8BN. ... Regulated. YES. www.elto.org.uk. 202639. Financial Insurance Company Limited. United Kingdom. Regulated.

  7. Our Rule Review Framework

    Corporate documents Published: 12/07/2023 Last modified: 10/01/2024
    The FCA have developed a draft Rule Review Framework to explain how it plans to monitor and review how its rules are working in practice.

  8. TR13/9 - Anti-Money Laundering and Anti-Bribery and Corruption Systems and Controls: Asset Management and Platform Firms

    Thematic reviews Published: 31/10/2013 Last modified: 30/08/2015
    Two areas where firms may be used to facilitate financial crime are money laundering and bribery and corruption. ... This review, along with the Financial Crime: a Guide for Firms will help firms achieve that.

  9. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

    Press Releases Published: 09/04/2019 Last modified: 09/04/2019
    The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML

  10. The role of investment managers in the post Covid-19 recovery

    Speeches Published: 08/07/2020 Last modified: 08/07/2020
    Speech by Christopher Woolard, Interim Chief Executive at the FCA, delivered at a webinar hosted by The Investment Association..
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