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Showing 581 to 590 of 834 search results for financial crime risks in trade.

  1. CFD firms fail to meet our expectations on appropriateness assessments

    Multi-firm reviews Published: 29/06/2017 Last modified: 29/06/2017
    Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms.

  2. Adviser banned and fined for fabricating RDR qualification certificates

    Press Releases Published: 30/01/2014 Last modified: 30/01/2014
    The FCA has found that Mr King is not a fit and proper person, lacking honesty and integrity, and poses a risk to consumers and to confidence in the financial system. ... Tracey McDermott, director of enforcement and financial crime at the FCA, said:.

  3. FCA establishes industry-led working group for financial advisers

    News stories Published: 16/01/2024 Last modified: 16/01/2024
    The FCA has appointed Daniel Godfrey as chair and Julia Dreblow as vice-chair of a new working group focused on building capability in sustainable finance across the financial advice sector. The Personal Investment Management & Financial Advice

  4. What are the lessons for insurance supervisors from the recent financial crisis?

    Speeches Published: 12/02/2013 Last modified: 09/04/2024
    Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank.

  5. Speech: Darwin and an evolution in price discrimination

    Insight Published: 17/03/2016 Last modified: 17/02/2017
    For example, in insurance it already raises interesting issues about risk pooling and pricing. ... But there is a risk of reduced consumer choice. And unintended consequences such as inefficient uptake or usage of financial services.

  6. FCA concerned about problem behaviours linked to trading app design

    Press Releases Published: 21/11/2022 Last modified: 21/11/2022
    The Financial Conduct Authority (FCA) has warned stock trading app operators to review design features, including those with game-like elements, which risk prompting consumers to take actions against their own interest.

  7. Navigating the UK's Digital Regulation Landscape: Where are we headed?

    Speeches Published: 22/04/2024 Last modified: 23/04/2024
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the Digital Regulation Cooperation Forum (DRCF)

  8. FCA fines Goldman Sachs International £34.3 million for transaction reporting failures

    Press Releases Published: 28/03/2019 Last modified: 28/03/2019
    Goldman Sachs International (GSI) has been fined £34,344,700 by the Financial Conduct Authority (FCA) for failing to provide accurate and timely reporting relating to 220.2 million transaction reports between November 2007 and March 2017.

  9. FCA fines Ghana International Bank Plc £5.8m for failings in its anti-money laundering controls

    Press Releases Published: 23/06/2022 Last modified: 23/06/2022
    Ghana International Bank Plc (GIB) £5,829,900 for poor anti-money laundering and counter-terrorist financing controls.

  10. FCA fines Santander UK £107.7 million for repeated anti-money laundering failures

    Press Releases Published: 09/12/2022 Last modified: 09/12/2022
    The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers. 
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