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Showing 621 to 630 of 834 search results for financial crime risks in trade.
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Balancing regulatory objectives in the dynamic consumer credit market
Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, at the Future of Lending Conference. -
FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives
Networks play an important role in financial services and it is critical that they have access to quality management information and risk-focussed systems and controls so that they can effectively ... Tracey McDermott, the FCA’s director of Enforcement -
Latest FCA perimeter report calls for legislative change to protect consumers
In the 2020/21 Perimeter Report, the FCA has called for legislative change to address concerns beyond its remit. -
Briefing on the FCA’s consultation on its reward offer and trade union recognition
On 22 September, we began consulting with colleagues on our future reward offer. The offer ensures the FCA continues to provide one of the best employment packages of any regulator or enforcement agency in the UK. -
First meeting of the PRA and FCA’s joint Climate Financial Risk Forum
On Friday 8 March, the PRA and FCA hosted the first meeting of the Climate Financial Risk Forum (CFRF). The objective of the CFRF is to build capacity and share best practice across financial regulators and industry to advance financial sector -
Anti-fraud controls and complaint handling in firms (with a focus on APP Fraud)
This publication sets out the key findings from our review of how firms mitigate the risks of APP fraud and fraud attacks more broadly. -
FCA bans partners of firm that failed to consider customer SIPP suitability
Tracey McDermott, Director of Enforcement and Financial Crime at the FCA, said:. ... This was then compounded by the partners’ failure to ensure that their customers fully understood these risks”. -
Information on investigations relating to Cum-Ex trades and cryptocurrency fraud
The FCA answers multiple questions related to investigations on Cum-Ex trades and cryptocurrency fraud. -
The hidden cost of domestic financial abuse: working together to improve outcomes
Domestic financial abuse has a huge impact on the lives of those who experience it. -
Primary Market Bulletin Issue No. 29
In this special edition, we publish a statement on feedback we received from PMB25 and the changes we have made in response. We also include the final note.