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Showing 181 to 190 of 240 search results for referrals and identification.
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Financial crime systems and controls during coronavirus situation
Find out about the FCA's expectations on how firms should apply their systems and controls to combat and prevent financial crime during the coronavirus crisis. -
Primary Market Bulletin Issue No. 27 – Coronavirus update
This is a special edition in which we provide key commentary for issuers and market participants in light of the coronavirus (Covid-19) pandemic. -
FCA issues Final Notice to former CEO for anti-money laundering failings
We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings. -
FCA makes Market Investigation Reference for investment consultancy services
The Financial Conduct Authority (FCA) has today confirmed its final decision to make a Market Investigation Reference (MIR) to the Competition and Markets Authority (CMA) in relation to investment consultancy and fiduciary management services. -
Insights from the Cyber Coordination Groups
Insights from the Cyber Coordination Groups -
November 2014: Internal Audit report: The identification, handling and management of market sensitive information [pdf]
This document was submitted to the Treasury Committee on 01 December 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury -
FCA bans partners of firm that failed to consider customer SIPP suitability
For these referrals, EGI was paid a fee, meaning that Mr Rees and Mr Hughes were benefitting from both the fees paid by customers for the advice given by 1 Stop -
Cryptoasset AML / CTF regime: feedback on good and poor quality applications
Feedback on good and poor quality applications made to the FCA under money laundering regulations. -
Derivation and changes tables
This page contains an interactive version of the tables derivation and changes tables produced by the FCA in policy statements dealing with the repeal and replacement of retained EU law. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this.