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Showing 771 to 780 of 834 search results for financial crime risks in trade.

771. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

     Press Releases Published: 05/03/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).

772. An evaluation of bringing additional benchmarks into the regulatory and supervisory regime

     Corporate documents Published: 22/10/2018 Last modified: 20/12/2018
     In this paper, we evaluate the Benchmarks (Amendment) Instrument 2015, which brought seven benchmarks into our regulatory and supervisory regime.

773. Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse

     Press Releases Published: 06/03/2015 Last modified: 06/03/2015
     Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse. ... in market manipulation, and that this risk should have been apparent to Carrimjee.

774. FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls

     Press Releases Published: 08/01/2009 Last modified: 08/11/2016
     The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with

775. The UK Financial Conduct Authority and the US Securities and Exchange Commission sign updated supervisory cooperation arrangements

     Press Releases Published: 29/03/2019 Last modified: 29/03/2019
     The United Kingdom (UK) Financial Conduct Authority (FCA) and the United States (US) Securities and Exchange Commission (SEC) have today reaffirmed their commitment to continue close cooperation and information sharing in the event of the UK’s

776. Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling

     Press Releases Published: 05/11/2014 Last modified: 29/11/2021
     The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted

777. CP19/29: Recovery of costs of supervising cryptoasset businesses under the anti-money laundering regulations

     Consultation papers Published: 15/10/2019 Last modified: 02/12/2019
     The FCA will be the anti-money laundering and counter terrorist financing (AML/CTF) supervisor for cryptoasset businesses, from 10 January 2020. This Consultation sets out our proposals for recovering the costs of this new role. 

778. CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients

     Consultation papers Published: 06/12/2016 Last modified: 09/03/2017
     This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks.

779. Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit

     Press Releases Published: 25/02/2019 Last modified: 25/02/2019
     Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential

780. How can we ensure that Big Data does not make us prisoners of technology?

     Speeches Published: 11/07/2018 Last modified: 11/07/2018
     Speech by Charles Randell, Chair, Financial Conduct Authority and Payment Systems Regulator, delivered at Reuters Newsmaker event, London.