Search results

Showing 781 to 790 of 834 search results for financial crime risks in trade.

781. TR14/4 – Risks to customers from financial incentives – an update

     Thematic reviews Published: 04/03/2014 Last modified: 13/03/2024
     This report summarises the findings of our follow-up thematic work into financial incentives which assessed whether firms are now managing the risks to consumers.

782. Financial Conduct Authority outlines how it would use the temporary transitional power

     Press Releases Published: 01/02/2019 Last modified: 11/04/2024
     The FCA has set out how it would use the temporary transitional power in the event the UK leaves the EU without an agreement.

783. PS18/8: Implementing asset management market study remedies and changes to our Handbook – feedback to CP17/18 and final rules

     Policy statements Published: 28/06/2017 Last modified: 05/04/2018
     This policy statement sets out our final rules and guidance to address some of the findings of the asset management market study, focused on the duties that authorised fund managers have as the agents of investors in their funds.

784. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

     Press Releases Published: 22/01/2015 Last modified: 22/01/2015
     Both individuals also ignored obvious risks such as the risk that brokers would give or accept inducements. ... This risk did in fact crystalise when brokers at Martins were induced to assist in LIBOR manipulation in exchange for corrupt brokerage

785. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

     Press Releases Published: 25/09/2013 Last modified: 04/11/2014
     system. Tracey McDermott, director of enforcement and financial crime, said:. "The misconduct in relation to LIBOR has cast a shadow over the financial services industry. ... On 1 April 2013, the Financial Services Authority (FSA) became the Financial

786. Regulated financial advice firms and individuals that attempt to avoid their redress liabilities

     Tasks for regulated firms Published: 14/12/2018 Last modified: 13/02/2023
     The FCA provides information to regulated financial advice firms

787. Occasional Paper No. 16: Are high-frequency traders anticipating the order flow? Cross-venue evidence from the UK market

     Occasional papers Published: 15/04/2016 Last modified: 02/09/2016
     These claims infer that HFTs can make profits without taking risks due to their latency advantages. ... Matteo Aquilina and Carla Ysusi. Matteo Aquilina and Carla Ysusi work in the Chief Economist’s Department of the Financial Conduct Authority.

788. CP23/9 – Changing the scope of the baseline financial resilience regulatory return

     Consultations Consultation papers Published: 02/05/2023 Last modified: 06/06/2023
     We’re consulting on changes to the scope of firms that provide us with baseline financial resilience data to include all full permission consumer credit firms.

789. Productive finance working group publishes recommendations addressing the barriers to investment in less liquid assets

     Press Releases Published: 27/09/2021 Last modified: 27/09/2021
     The Productive Finance Working Group has today published a series of recommendations which could facilitate greater investment in longer-term, less liquid assets. The Group is industry led, co-chaired by the Governor of the Bank, the Chief Executive

790. FCA begins criminal proceedings against five individuals involved with Worthington Group plc

     Press Releases Published: 20/10/2022 Last modified: 20/10/2022
     The FCA has begun criminal proceedings against five individuals involved with Worthington Group plc, a company listed on the London Stock Exchange.