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Showing 21 to 30 of 164 search results for serious financial crime.
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FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading
The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case -
FCA further bolsters its leadership team as it expands its headcount
The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and -
Finding opportunity in a world of uncertainty
Speech by Sarah Pritchard, Executive Director, Markets, at the CityUK Annual Conference. -
Supporting consumers in challenging times
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the Building Societies Annual Conference -
Critical issues in financial regulation: The FCA's perspective
Speech by our CEO, Nikhil Rathi, delivered at City Week 2022. -
Former Redcentric CFO sentenced to five and a half years imprisonment
Tim Coleman sentenced to five and a half years imprisonment and disqualified from being a director for ten years. -
Barclays fined £783,800 and agrees to make a voluntary payment to Premier FX customers
Barclays failed to make enquiries to ensure that Premier FX’s actual business activity aligned with Barclays’ expectations and did not identify that Premier FX’s internal controls were deficient. -
FCA fines HSBC Bank plc £63.9 million for deficient transaction monitoring controls
We have fined HSBC Bank plc (HSBC) £63,946,800 for failings in its anti-money laundering processes. -
NatWest fined £264.8 million for anti-money laundering failures
National Westminster Bank Plc fined £264,772,619.95 following convictions for three offences of failing to comply with money laundering regulations. -
FCA announces changes to its Executive Committee
Stephen Braviner Roman appointed General Counsel and member of FCA's Executive Committee. Megan Butler to step down as Executive Director of Transformation.