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Showing 21 to 30 of 70 search results for Internal Audit Report submitted to the Audit.

  1. Cryptoassets: AML / CTF regime

    Tasks for firms Published: 21/10/2019 Last modified: 15/01/2024
    We are the anti-money laundering and counter-terrorist financing (AML/CTF) supervisor of UK cryptoasset businesses under the money laundering regulations. Learn more about the regime.

  2. Financial crime controls at challenger banks

    Firms Multi-firm reviews Published: 22/04/2022 Last modified: 22/04/2022
    Ensuring the firms we regulate are effective in preventing financial crime, such as money laundering and sanctions evasion, remains a key priority. This includes testing the financial crime controls of new business models as they enter the UK

  3. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

  4. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

    Press Releases Published: 05/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).

  5. Committees

    About us Who we are Published: 06/04/2016 Last modified: 30/04/2024
    The FCA Board has several committees to which it delegates certain function/powers.

  6. FSA - Internal Audit Report: A review of the extent of awareness within the FSA of inappropriate LIBOR submissions [pdf]

    Corporate documents Published: 05/03/2013 Last modified: 03/08/2016

  7. FSA - Internal Audit Report: A review of the extent of awareness within the FSA of inappropriate LIBOR submissions - management response [pdf]

    Corporate documents Published: 05/03/2013 Last modified: 03/08/2016

  8. FSA - The supervision of Northern Rock [pdf]

    Corporate documents Published: 28/04/2008 Last modified: 03/08/2016

  9. Chief Executive

    About us Who we are Published: 06/04/2016 Last modified: 20/07/2022
    Read about the main responsibilities of the FCA Chief Executive.

  10. Defined contribution workplace pensions: The audit of charges and benefits in legacy schemes

    Statements Published: 01/08/2014 Last modified: 01/08/2014
    Defined contribution workplace pensions: The audit of charges and benefits in legacy schemes. ... Carol Sergeant, Chair of the Independent Project Board comments:. “This report provides an update of the IPB’s progress to date on the audit of charges
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