Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 791 to 800 of 834 search results for financial crime risks in trade.

  1. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

    Press Releases Published: 10/04/2019 Last modified: 10/04/2019
    The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

  2. How innovation and regulation in financial services can drive the UK's economic growth

    Speeches Published: 29/06/2023 Last modified: 29/06/2023
    Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023.

  3. Fair, transparent and competitive: the FCA’s vision for the asset management sector

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. High Court settlement paves the way for FCA to return money to investors in illegal land bank

    Press Releases Published: 21/06/2013 Last modified: 29/11/2021
    The Financial Conduct Authority (FCA) has agreed a settlement of proceedings in the High Court which will enable it to return approximately £380,000 to investors in a land bank.

  5. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

    Press Releases Published: 03/09/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

  6. FCA: New strategic approach to ensure “sharper focus” to regulatory challenges ahead

    Press Releases Published: 08/12/2014 Last modified: 08/12/2014
    Martin Wheatley, chief executive of the Financial Conduct Authority, said of the changes:. ... The main structural changes include:. We will bring together the current Authorisations and Supervision Divisions, with our specialist supervision functions

  7. TR16/2: Fair treatment of long-standing customers in the life insurance sector

    Thematic reviews Published: 03/03/2016 Last modified: 04/03/2016
    We had identified some risks which could lead to long-standing customers being treated unfairly, such as firms benefitting from customer inertia by keeping them in high-charging, poorly performing products ... Consumer groups and trade bodies will also

  8. PS21/24: Enhancing climate-related disclosures by asset managers, life insurers and FCA-regulated pension providers

    Policy statements Published: 17/12/2021 Last modified: 17/12/2021
    We are introducing a new Environmental, Social and Governance sourcebook.

  9. Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct

    Press Releases Published: 23/05/2014 Last modified: 24/03/2015
    Tracey McDermott, the FCA's director of enforcement and financial crime, said:. ... Barclays' failure to identify and manage the risks in its business was extremely disappointing.

  10. CP16/5: Handbook changes to reflect the introduction of the Innovative Finance ISA and the regulated activity of advising on peer-to-peer agreements

    Consultation papers Published: 02/02/2016 Last modified: 04/04/2016
    financial advisers. firms operating loan-based crowdfunding platforms. firms that wish to manage Innovative Finance ISAs. ... financial return in the form of interest payments, together with repayment of capital.
Related topics