Showing 1 to 10 of 162 search results for its 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. 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. 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.

4. 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.

5. 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.

6. 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.

7. 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.

8. Andrew and Peter Currie sentenced to a combined 8 years for fleecing consumers through Collateral P2P platform

   Press Releases Published: 14/07/2023 Last modified: 14/07/2023
   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

9. 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.

10. 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.