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Showing 191 to 200 of 272 search results for identification and management of conflicts.
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The importance of purposeful anti-money laundering controls
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021. -
FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings
The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering -
Financial watchdog proposes to ban debt packager referral fees to protect consumers
The FCA is to push ahead with proposals to ban debt packager firms from receiving referral fees from debt solution providers, following further analysis of the market. -
FCA proposes reforms to the availability of information in the UK equity IPO process
The FCA is proposing a package of measures to reform the availability of information during the UK equity initial public offering (IPO) process. -
MiFID II: The future of European trading in the balance
Speech by David Lawton, Director of Markets, at the FCA MiFID II Conference 2014. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA publishes complaints data for the second half of 2012
We have published the latest complaints data showing complaints to financial services firms between July and December 2012. -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
The Business Plan also confirmed that a series of new thematic reviews into the conduct of wholesale banking and investment management firms would be undertaken. ... extensive engagement with Europe on important Directives under consideration including -
UK EMIR news
Read our archive of news relating to EMIR dating back to August 2013. -
FCA review finds evidence of life insurance and advisory firms ‘undermining the objectives of the RDR’ and consults on new guidance
The Financial Conduct Authority (FCA) has published a review to find out whether firms continue to be influenced by inducements from product providers, despite the Retail Distribution Review (RDR) coming into effect in January 2013 -
Upper Tribunal upholds FCA decision to fine and ban Chief Executive of TailorMade Independent Limited, Alistair Burns
On 31 July 2018, the Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to prohibit Alistair Burns, Director and CF1 of TailorMade Independent Limited (TMI) from performing any FCA significant influence or senior management