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Showing 801 to 810 of 834 search results for financial crime risks in trade.

  1. CP23/31: Primary Markets Effectiveness Review: Feedback to CP23/10 and detailed proposals for listing rules reforms

    Consultation papers Published: 20/12/2023 Last modified: 07/03/2024
    These proposed listing regime reforms aim to encourage a greater range of companies to list and grow on UK markets.

  2. FCA fines Guaranty Trust Bank (UK) Limited £7.6 million for further failures in its anti-money laundering systems and controls

    Press Releases Published: 10/01/2023 Last modified: 10/01/2023
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Limited (GT Bank) £7,671,800 for serious weaknesses in its anti-money laundering (AML) systems and controls between October 2014 and July 2019.

  3. PS20/10: Prohibiting the sale to retail clients of investment products that reference cryptoassets

    Policy statements Published: 06/10/2020 Last modified: 09/10/2020
    This Policy Statement summarises feedback to CP19/22. It sets out our final policy position and Handbook rules that will come into force on 6 January 2021. 

  4. FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative

    Press Releases Published: 09/02/2016 Last modified: 09/02/2016
    The Financial Conduct Authority (FCA) has today fined Achilles Macris £792,900 for failing to be open and co-operative with the Authority. ... Were it not for the total discount of 30%, the financial penalty would have been £1,132,747.

  5. DP 21/2: Diversity and inclusion in the financial sector – working together to drive change

    Discussion papers Published: 06/07/2021 Last modified: 04/01/2023
    We are engaging financial firms and other stakeholders in a discussion on how we can accelerate the pace of meaningful change on diversity and inclusion in the sector.

  6. Financial adviser banned and fined £300,000 after clients lost out investing in companies he controlled

    Press Releases Published: 16/09/2014 Last modified: 16/09/2014
    Financial adviser banned and fined £300,000 after clients lost out investing in companies he controlled. ... Tracey McDermott, director of enforcement and financial crime, said:. “People go to advisers because they want expert help on how to make the

  7. PS22/16: Margin requirements for non-centrally cleared derivatives: Amendments to BTS 2016/2251

    Policy statements Published: 15/12/2022 Last modified: 15/12/2022
    This PRA and FCA policy statement provides feedback to responses to FCA CP22/13. It also contains the PRA’s and FCA’s final policy,

  8. FS23/4: Potential competition impacts of Big Tech entry and expansion in retail financial services 

    Feedback statements Published: 12/07/2023 Last modified: 12/07/2023
    We are asking for views on the potential benefits and harms from Big Tech firms’ entry and expansion into retail financial services sectors

  9. PS20/15: High-risk investments: Marketing speculative illiquid securities (including speculative mini-bonds) to retail investors

    Policy statements Published: 17/06/2020 Last modified: 10/12/2020
    The FCA has confirmed proposals to permanently ban the mass-marketing of speculative illiquid securities - including speculative mini-bonds - to retail investors

  10. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

    Press Releases Published: 11/12/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.
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