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Showing 181 to 190 of 241 search results for identification and management of conflicts of interest.
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Internal investigations by firms
Speech by Jamie Symington, Director in Enforcement (Wholesale, Unauthorised Business and Intelligence), FCA, delivered at the Pinsent Masons Regulatory Conference 2015 on 5 November 2015. This is the text of the speech as drafted, which may differ -
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 -
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. -
Our approach to competition
The FCA promotes effective competition in the interests of consumers. -
Competition and conduct regulation in financial services
Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Regulatory Policy Institute's Annual Competition and Regulation Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
From intellectual certainty to debate
At the core of this debate, of course, is the City, which has both moral and legal obligations to advance the interests of clients and shareholders, as well as a wider ... The impact of cross-selling on market competition. The potential for conflicts of -
Listening up to level up – regulating finance for the whole of the UK
Speech by Charles Randell, Chair of the FCA, at the Centre for Commercial Law Studies, Queen Mary University of London. -
Findings of multi-firm review into insurers' valuation of vehicles
We set out the findings from our review which assesses firms’ claims-handling processes for valuing vehicles which have been stolen or written-off (‘total-loss’ claims). -
Efficiency and effectiveness: our approach to primary markets
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Bloomberg. -
FCA Enforcement and the Wholesale Markets
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered