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Showing 11 to 20 of 185 search results for financial crime controls.
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Andrew and Peter Currie sentenced to a combined 8 years for fleecing consumers through Collateral P2P platform
On 14 July 2023 Peter Currie and Andrew Currie were sentenced to 5.5 years and 2.5 years imprisonment for fraud and money laundering following prosecution by the FCA -
FCA fines Bastion Capital London Limited £2.5m for serious financial control failings
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. -
Our emerging regulatory approach to Big Tech and Artificial Intelligence
Speech by Nikhil Rathi, our Chief Executive, delivered at The Economist, London. -
Joint Regulatory Oversight Committee publishes commercial pricing principles for open banking
This JROC paper sets out 5 principles for banks and registered third parties when agreeing a premium API commercial model. -
FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
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 -
Do the right thing
Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit. -
How to change in response to changing threats
Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at XLOD Global New York – The Future of Non-Financial Risk & Control across the 3 Lines of Defence. -
Financial watchdog puts banks on alert in fight against money laundering via the Post Office
A series of measures designed to reduce the risk of money laundering via the Post Office have today been set out by the FCA. -
2023 fines
Enforcement fines published in 2023. -
FCA penalises Al Rayan Bank PLC for anti-money laundering failures
We have fined Al Rayan Bank for failing to put in place adequate anti-money laundering (AML) controls.