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Showing 571 to 580 of 834 search results for financial crime risks in trade.
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Regulating financial innovation – going behind the scenes
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Cambridge Centre for Alternative Finance annual conference, Judge Business School. -
Andrew Bailey introductory speech on multilateralism and global coordination: A case for balancing autonomy and co-operation in the interests of financial markets
Speech by Andrew Bailey, Chief Executive of the FCA, at the Eurofi Financial Forum, on multilaterialism and global coordination. -
Invesco Perpetual fined £18.6 million for failings in fund management
The Financial Conduct Authority (FCA) has fined Invesco Asset Management Limited and Invesco Fund Managers Limited (Invesco Perpetual) £18,643,000 for exposing investors to greater levels of risk than they ... Failed to monitor whether trades were -
Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers
Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient. -
Accepting pension transfer referrals from overseas advisers: UK authorised firms’ responsibilities
The FCA highlights the increased risks to consumers when overseas firms refer defined benefit scheme members to UK firms for pension transfer advice. -
What can the consumer credit sector expect from the FCA?
Speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, at the Credit Summit, London. -
Mark Lyttleton sentenced to 12 months imprisonment for insider dealing
In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts -
FCA publishes Decision Notice against Markos Markou for lack of oversight
The FCA published a Decision Notice in respect of Markos Markou, the Director and Chief Executive of a mortgage broker firm, Financial Solutions (Euro) Limited (FSE). Mr Markou has referred the Decision Notice to the Tribunal. -
FCA fines former managing director £45,000 for failure to notify personal trades
The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades. -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules