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Showing 721 to 730 of 834 search results for financial crime risks in trade.

  1. PS23/2: Changes to reporting requirements, procedures for data quality and registration of Trade Repositories under UK EMIR

    Policy statements Published: 24/02/2023 Last modified: 28/02/2023
    We have launched a joint consultation with the Bank of England on changes to reporting requirements, procedures for data quality and registration of Trade Repositories under UK EMIR.

  2. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  3. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

    Press Releases Published: 22/09/2015 Last modified: 22/09/2015
    The Financial Conduct Authority’s Executive Committee is attended by:. Acting Chief Executive Officer: Tracey McDermott. ... Georgina was director of strategy and delivery in the Enforcement and Financial Crime Division, focusing on internal and

  4. TR15/2: Structured Products: Thematic Review of Product Development and Governance

    Thematic reviews Published: 05/03/2015 Last modified: 12/01/2023
    Our recent work in the structured products market has focused on better understanding consumer behaviour and the way that firms approach product development and governance.

  5. FSA fines Zurich Insurance £2,275,000 following the loss of 46,000 policy holders' personal details

    Press Releases Published: 24/08/2010 Last modified: 29/11/2016
    The Financial Services Authority (FSA) has fined the UK branch of Zurich Insurance Plc (Zurich UK) £2,275,000 for failing to have adequate systems and controls in place to prevent the loss of customers’ confidential information. The fine is the

  6. PS23/13: Introducing a gateway for firms who approve financial promotions

    Policy statements Published: 11/09/2023 Last modified: 16/11/2023
    The FCA's final policy position and response to the feedback received to its consultation on introducing a gateway for firms who approve financial promotions.

  7. CP15/6: Consumer credit - proposed changes to our rules and guidance

    Consultation papers Published: 24/02/2015 Last modified: 30/08/2015
    This paper outlines our proposed policy changes to our consumer credit regime.

  8. FCA fines and imposes a restriction on Canara Bank for anti-money laundering systems failings

    Press Releases Published: 06/06/2018 Last modified: 06/06/2018
    The Financial Conduct Authority (FCA) has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits from new customers for 147 days.

  9. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

    Press Releases Published: 23/05/2013 Last modified: 22/11/2021
    The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

  10. Barclays fined £38 million for putting £16.5 billion of client assets at risk

    Press Releases Published: 23/09/2014 Last modified: 30/08/2015
    Barclays fined £38 million for putting £16.5 billion of client assets at risk. ... Tracey McDermott, FCA director of enforcement and financial crime, said:. 'Barclays failed to apply the lessons from our previous enforcement actions, numerous
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