Showing 1 to 10 of 92 search results for business activities and financial crime controls.

1. FCA warns firms over anti-money laundering failings

   News stories Published: 05/03/2024 Last modified: 05/03/2024
   We have warned firms about common failings we have found in financial crime controls.

2. Evolving our enforcement approach to protect and grow our markets

   Speeches Published: 27/02/2024 Last modified: 27/02/2024
   Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit.

3. Restrictions placed on IBP Markets Limited and the Firm enters special administration

   News stories Published: 13/10/2023 Last modified: 20/10/2023
   We have imposed a number of restrictions on IBP Markets Limited, stopping it from carrying on any regulated activities due to concerns about the way it conducts its business, including about client money protections at the firm.

4. Calibrating controls to build confident markets

   Speeches Published: 06/09/2023 Last modified: 06/09/2023
   Speech by Sarah Pritchard, Executive Director of Markets and International at the Financial Crime Summit 2023 by 1LoD.

5. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

   Press Releases Published: 13/07/2023 Last modified: 13/07/2023
   The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

6. Our emerging regulatory approach to Big Tech and Artificial Intelligence

   Speeches Published: 12/07/2023 Last modified: 12/07/2023
   Speech by Nikhil Rathi, our Chief Executive, delivered at The Economist, London.

7. FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims

   Press Releases Published: 05/06/2023 Last modified: 05/06/2023
   The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately

8. Do the right thing

   Speeches Published: 01/06/2023 Last modified: 30/10/2023
   Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.

9. Financial watchdog puts banks on alert in fight against money laundering via the Post Office

   Press Releases Published: 24/04/2023 Last modified: 24/04/2023
   A series of measures designed to reduce the risk of money laundering via the Post Office have today been set out by the FCA. 

10. FCA fines Santander UK £107.7 million for repeated anti-money laundering failures

    Press Releases Published: 09/12/2022 Last modified: 09/12/2022
    The FCA has fined Santander UK Plc (Santander) £107,793,300 after it found serious and persistent gaps in its anti-money laundering (AML) controls, affecting its Business Banking customers.