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Showing 751 to 760 of 834 search results for financial crime risks in trade.
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FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
The conflicts of interest and risks inherent in the side-by-side management of funds require robust risk management systems and controls. ... By delaying the allocation of trades, traders who managed funds on a side-by-side basis could assess a trade’s -
FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse
The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye -
Financial regulator sets out further reforms to improve markets and bolster competitiveness
FCA sets out further reforms to help strengthen the UK’s leading position as a global and vibrant financial centre. -
Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue
Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue. -
Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt
The Financial Conduct Authority has fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. These loans and a bond -
FSA confirms approach to using temporary product intervention rules that will be used by the FCA
The Financial Services Authority (FSA) has confirmed its approach to temporary product intervention. This sets out the process for the Financial Conduct Authority (FCA) when it makes emergency rules to protect consumers. -
FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
Had SEI become insolvent, these failings could have led to complications and delay in distribution and placed client money at risk. ... Tracey McDermott, director of enforcement and financial crime, said:. "SEI has committed a serious breach by failing -
PS21/23: Enhancing climate-related disclosures by standard listed companies
We are extending the application of our climate-related disclosure requirements to issuers of standard listed shares and Global Depositary Receipts representing equity shares. -
FCA statement on the Opinion of ESMA on our final rules for CFDs and CFD-like options
This notice sets out the FCA's reasons for acting contrary to the European Securities and Markets Authority’s (ESMA) Opinion of our national product intervention measures restricting how CFDs and CFD-like options are sold to retail -
FG14/6 - Annuity comparison websites: Financial promotions review and guidance for firms
We received 12 responses to our guidance consultation paper from a range of respondents including firms, consumers and trade associations on behalf of their members. ... Tax. A respondent believed that the current required tax risk warning should be