Search results

Showing 731 to 740 of 834 search results for financial crime risks in trade.

731. Building the UK financial sector’s operational resilience discussion paper

     Press Releases Published: 05/07/2018 Last modified: 14/09/2023
     BOE, PRA and FCA publish joint discussion paper on an approach to improve the operational resilience of firms and financial market infrastructures

732. A helping hand for the invisible hand: the FCA’s approach to competition and innovation

     Speeches Published: 11/06/2018 Last modified: 11/06/2018
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Competition Policy 2018: The relationship between antitrust, innovation and investment, Chatham House, London.

733. Lloyds Banking Group fined £4.3 million for delayed PPI redress payments

     Press Releases Published: 19/02/2013 Last modified: 09/12/2016
     The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress.

734. FSA secures High Court victory against illegal land banking firm, Asset Land

     Press Releases Published: 11/02/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has won a key victory in the battle against unauthorised businesses after the High Court declared that David Banner-Eve, Stuart Cohen, Asset Land Investments Plc and Asset L.I. Inc. ran an illegal land bank by

735. FCA and ASA team up with Sharon Gaffka to warn fin-fluencers of risks of promoting illegal ‘get rich quick’ schemes

     Press Releases Published: 06/04/2023 Last modified: 06/04/2023
     We and the ASA will be engaging with influencers, providing them with clear information about what could be an illegal financial promotion.

736. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

     Press Releases Published: 29/08/2014 Last modified: 29/08/2014
     Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority, said:. ... actions.". Cameron was a director of London-based financial advisory firm Burlington Associates Limited (Burlington) between May 2003 and January

737. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

     Press Releases Published: 16/06/2014 Last modified: 09/12/2016
     Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures. ... Tracey McDermott, FCA’s director of enforcement and financial crime said:. "It is crucial that firms consider the needs of their

738. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

     Press Releases Published: 19/08/2022 Last modified: 19/08/2022
     The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

739. TR14/16 – How small banks manage money laundering and sanctions risk: update

     Thematic reviews Published: 14/11/2014 Last modified: 25/11/2021
     This report follows the Financial Services Authority’s 2011 report on Bank’s management of high money-laundering risk situations (the 2011 AML review) and the subsequent enforcement action and regulatory guidance.

740. Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators

     News stories Published: 02/08/2016 Last modified: 12/03/2024
     This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms.