News
Search results
Showing 81 to 90 of 164 search results for serious financial crime.
-
The FCA’s Business Plan and Priorities
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester -
FCA secures confiscation orders totalling £1.69 million against convicted insider dealers
These confiscation orders follow an FCA prosecution in which Messrs Dodgson and Hind were convicted of conspiring to insider deal. -
Convicted illegal money lender sentenced to three and a half years imprisonment
Dharam Prakash Gopee (64), was today sentenced to three and a half years imprisonment by a Judge in Southwark Crown Court after guilty verdicts. -
FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in -
Effective compliance with the Market Abuse Regulation – a state of mind
Why are firms not aligning their efforts to combat financial crime with their efforts to combat market abuse? ... If this is the case, why are firms not aligning their efforts to combat financial crime with their efforts to combat market abuse? -
FCA urges public to report and speak out against fraudulent investment schemes
More than a fifth (22%) of those contacted by a suspected fraudulent investment firm stay silent Brits are more likely to report fly-tipping (81%) than investment scams (63%) Londoners report the most investment scams to the FCA followed by -
A Better View
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017 -
Competition and innovation in financial services: the regulator’s perspective
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Cheung Kong Graduate School of Business. -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings
The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December