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The UK Financial Conduct Authority and the US Securities and Exchange Commission sign updated supervisory cooperation arrangements
The United Kingdom (UK) Financial Conduct Authority (FCA) and the United States (US) Securities and Exchange Commission (SEC) have today reaffirmed their commitment to continue close cooperation and information sharing in the event of the UK’s -
Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation
In other words, people aren’t very good at making on-the-hoof calculations of probability or at assessing risk. ... market under different scenarios; and the potential risk of vulnerable people turning to unlicensed lenders. -
TR22/1: Observations on wind-down planning: liquidity, triggers & intragroup dependencies
This review reiterates our expectation that firms have adequate financial and non-financial resources to wind-down in an orderly manner, and sets out our observations of how they are doing this. -
FCA fines EFG Private Bank £4.2m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined EFG Private Bank Ltd (EFG) £4.2 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) controls for high risk customers. The failings were serious -
FCA confirms permanent restrictions on the sale of CFDs and CFD-like options to retail consumers
Following consultation feedback, the Financial Conduct Authority (FCA) is confirming new rules restricting the sale, marketing and distribution of CFDs and CFD-like options to retail customers. -
State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings
TM is a service provided to clients to support structural changes to asset portfolios with the intention of managing risk and increasing returns. ... A firm must take reasonable care to organise and control its affairs responsibly and effectively, with -
FCA launches discussion on competition impacts of Big Tech on financial services industry
The FCA is seeking views on the potential competition benefits and harms from Big Tech firms’ entry into retail financial services sectors -
FCA fines and imposes a restriction on Canara Bank for anti-money laundering systems failings
The Financial Conduct Authority (FCA) has fined Canara Bank £896,100 and has imposed a restriction, preventing it from accepting deposits from new customers for 147 days. -
CP23/9 – Changing the scope of the baseline financial resilience regulatory return
We’re consulting on changes to the scope of firms that provide us with baseline financial resilience data to include all full permission consumer credit firms. -
CP17/13: Fourth money laundering directive and fund transfer regulation implementation (DEPP and EG)
We are consulting on our proposals to ensure that our guidance, policies and procedures relating to the use of our powers under the new money laundering regulations are up to date, effective and proportionate.