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Showing 591 to 600 of 834 search results for financial crime risks in trade.

  1. FCA updates position on cryptoasset Exchange Traded Notes for professional investors

    Statements Published: 11/03/2024 Last modified: 20/03/2024
    The FCA will not object to requests from Recognised Investment Exchanges (RIEs) to create a UK listed market segment for cryptoasset-backed Exchange Traded Notes (cETNs). These products would be available for professional investors, such as

  2. Rolling the rock: The cycle of deregulation, crisis and regulation

    Speeches Published: 02/10/2018 Last modified: 03/10/2018
    Speech by Charles Randell, Chair, Financial Conduct Authority, delivered at the Association for Financial Markets in Europe (AFME) Annual Conference on 2 October 2018.

  3. Deutsche Bank fined £4.7m for failing to properly report transactions

    Press Releases Published: 28/08/2014 Last modified: 28/08/2014
    Tracey McDermott, the FCA’s director of enforcement and financial crime, said:. ... the firm that undertook the trade, the trade counterparty and the trade characteristics such as buy/sell indicator, price and the quantity concerned.

  4. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

  5. PS18/19: Assessing creditworthiness in consumer credit

    Policy statements Published: 31/07/2017 Last modified: 30/07/2018
    In this Policy Statement we respond to feedback arising from CP17/27 (PDF) and publish final rules and guidance on assessing creditworthiness in consumer credit.

  6. The Financial Conduct Authority (FCA) makes senior appointments to drive its transformation

    Press Releases Published: 25/02/2021 Last modified: 26/02/2021
    Nikhil Rathi, Chief Executive of the FCA since October 2020, has now made four further appointments to the FCA’s executive team.

  7. FCA fines HSBC Bank plc £63.9 million for deficient transaction monitoring controls

    Press Releases Published: 17/12/2021 Last modified: 06/05/2022
    We have fined HSBC Bank plc (HSBC) £63,946,800 for failings in its anti-money laundering processes.

  8. FCA fines and restricts W H Ireland Limited for market abuse risks

    Press Releases Published: 23/02/2016 Last modified: 23/02/2016
    The Financial Conduct Authority (FCA) has fined W H Ireland Limited (WHI) £1.2million. ... deficient compliance oversight, including the absence of formal risk management framework for market abuse and inadequate post-trade surveillance systems, in

  9. PS19/30 Independent Governance Committees: extension of remit

    Policy statements Published: 17/12/2019 Last modified: 15/05/2020
    This policy statement sets out the FCA's final rules to extend the remit of Independent Governance Committees, with new duties in 2 areas.

  10. FG17/8: Streamlined advice and consolidated guidance

    Finalised guidance Published: 28/09/2017 Last modified: 11/05/2018
    This is our finalised guidance on streamlined advice and the fact find process. The summary of feedback outlines the response to our consultation.  We have updated it to include guidance from our Advice Unit in response to queries received from
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