Showing 1 to 10 of 185 search results for financial crime controls.

1. FCA updates position on cryptoasset Exchange Traded Notes for professional investors

   Statements Published: 11/03/2024 Last modified: 20/03/2024
   The FCA will not object to requests from Recognised Investment Exchanges (RIEs) to create a UK listed market segment for cryptoasset-backed Exchange Traded Notes (cETNs). These products would be available for professional investors, such as

2. 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.

3. 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.

4. Shifting the dial on financial crime requires a collective push

   Blogs Published: 09/02/2024 Last modified: 09/02/2024
   Collaborative action across four areas of focus can help shift the dial in our efforts to fight financial crime.

5. FCA statement on Nvayo Limited

   Statements Published: 08/02/2024 Last modified: 08/02/2024
   The Upper Tribunal has agreed not to suspend restrictions we placed on e-money firm Nvayo Limited.

6. Firms should strengthen anti-fraud systems and must treat victims of fraud better, review finds

   News stories Published: 07/11/2023 Last modified: 07/11/2023
   We are working with payment service providers to do more to protect consumers from fraud, including authorised push payment (APP) fraud

7. 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.

8. FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings

   Press Releases Published: 02/10/2023 Last modified: 02/10/2023
   The broker has been fined for inadequate anti-money laundering (AML) systems and controls.

9. 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.

10. FCA launches review of treatment of Politically Exposed Persons

    Press Releases Published: 05/09/2023 Last modified: 05/09/2023
    The FCA has today set out issues it will consider as part of a review of the treatment of domestic Politically Exposed Persons (PEPs) by financial services firms.