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Showing 671 to 680 of 834 search results for financial crime risks in trade.

  1. Competition and innovation in financial services: the regulator’s perspective

    Speeches Published: 11/05/2017 Last modified: 11/05/2017
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Cheung Kong Graduate School of Business.

  2. FCA sets out expectations for investment managers on dealing commission

    Press Releases Published: 08/05/2014 Last modified: 08/05/2014
    Investment managers should only use client dealing commission to pay for substantive research or costs related to executing trades, the Financial Conduct Authority (FCA) said today as it published a policy ... Clients are given easily understood

  3. FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls

    Press Releases Published: 24/04/2013 Last modified: 29/11/2021
    The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers. The failings were serious

  4. ScamSmart prompts tens of thousands of pension holders to seek information

    Press Releases Published: 04/12/2018 Last modified: 04/12/2018
    The number of people seeking information about pension scams has soared since the launch of the first joint campaign by the Financial Conduct Authority (FCA) and The Pensions Regulator (TPR) this summer.

  5. FSA CP13/7: Consumer credit regulation - our proposed regime

    Consultation papers Published: 06/03/2013 Last modified: 15/01/2015
    On 1 April 2014, the regulation of the consumer credit market will be transferred from the Office of Fair Trading (OFT) to the Financial Conduct Authority (FCA). This move was announced by the Government, with the aim of increasing protection for

  6. FS19/7: Building a regulatory framework for effective stewardship

    Feedback statements Published: 24/10/2019 Last modified: 24/10/2019
    In January 2019, jointly with the Financial Reporting Council (FRC), we published a Discussion Paper, Building a Regulatory Framework for Stewardship (DP 19/1). This Feedback Statement (FS) responds to the views we received, within the scope of our

  7. Former Mortgage Broker Committed to Crown Court for Conducting Unauthorised Business

    Press Releases Published: 02/05/2013 Last modified: 13/05/2013
    On Monday 29 April 2013, Michael Joseph James Lewis of 3 Sedley Close, Rainham, Gillingham, appeared at Medway Magistrates Court in relation to criminal offences brought against him by the Financial Conduct Authority (FCA).

  8. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

    Press Releases Published: 30/01/2015 Last modified: 30/01/2015
    Consideration of confiscation and other financial orders will take place at a later date. ... he did trade, he lost almost all of the money in his trading accounts.

  9. A strategy for positive change: our ESG priorities

    Corporate documents Published: 03/11/2021 Last modified: 21/11/2022
    The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy.

  10. The Financial Conduct Authority continues crackdown on unregistered crypto ATMs in the UK

    Press Releases Published: 11/07/2023 Last modified: 08/08/2023
    Since the start of 2023, the Financial Conduct Authority (FCA) has visited and inspected 34 locations across the UK suspected of hosting crypto ATMs.
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