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Showing 1991 to 2000 of 2441 search results for risk identification.

  1. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

    Press Releases Published: 30/01/2015 Last modified: 30/01/2015
    The Judge also stated in sentencing Von Badlo that the risk of the scheme must have been clear to him.

  2. The Financial Conduct Authority continues crackdown on unregistered crypto ATMs in the UK

    Press Releases Published: 11/07/2023 Last modified: 08/08/2023
    Since the start of 2023, the Financial Conduct Authority (FCA) has visited and inspected 34 locations across the UK suspected of hosting crypto ATMs.

  3. FCA fines former managing director £45,000 for failure to notify personal trades

    Press Releases Published: 20/12/2019 Last modified: 20/12/2019
    The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

  4. Update to June 2019 joint statement on opportunistic strategies in the credit derivatives market

    Statements Published: 19/09/2019 Last modified: 19/09/2019
    The International Swaps and Derivatives Association (ISDA) recently released a proposed protocol designed to address certain issues related to narrowly tailored credit events. This protocol contains two amendments to the 2014 ISDA Credit Derivatives

  5. FCA publishes final rules to make those in the banking sector more accountable

    Press Releases Published: 07/07/2015 Last modified: 19/04/2016
    The Certification Regime applies to other staff who could pose a risk of significant harm to the firm or any of its customers (for example, staff who give investment advice or

  6. DP21/1: Strengthening our financial promotion rules for high-risk investments and firms approving financial promotions

    Discussion papers Published: 29/04/2021 Last modified: 19/01/2022
    Read our proposals on changes we can make to strengthen our financial promotion rules for high-risk investments

  7. FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse

    Press Releases Published: 08/12/2022 Last modified: 08/12/2022
    The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.

  8. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

    Press Releases Published: 09/08/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

  9. Anti-fraud controls and complaint handling in firms (with a focus on APP Fraud)

    Multi-firm reviews Published: 07/11/2023 Last modified: 23/04/2024
    This publication sets out the key findings from our review of how firms mitigate the risks of APP fraud and fraud attacks more broadly.

  10. FCA warns consumers about mismanagement of 'asset protection' trust schemes

    News stories Published: 25/04/2023 Last modified: 10/05/2023
    We have seen cases of firms seriously mismanaging trusts. Find out more about harm we’ve seen and how to protect yourself.
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