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Showing 51 to 60 of 1320 search results for Wholesale Conduct Risk.
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The rapidity of change
Speech by Tracey McDermott, Acting Chief Executive at the Financial Conduct Authority, to be delivered at the City Banquet - Mansion House this evening. This is the text of the speech as drafted, which may differ from the delivered version. -
Final Notice 2023: Guaranty Trust Bank (UK) Limited [pdf]
This Final Notice (Guaranty Trust Bank (UK) Limited) refers to breaches of PRIN 3 related to the risk of financial crime in the wholesale banking sector. We imposed a financial penalty. -
Global regulation in the post-crisis era
Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016. -
Corporate finance firms
Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application. -
Market Watch 68
In this Market Watch we discuss web-based trading platforms, which are widely used for Rates and Fixed Income products and share our concerns about gaps in users’ surveillance of web-based platform activity. -
Our approach to supervision
Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public. -
Business Plan 2024/25
Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
Building on experience
Speech by Martin Wheatley, Chief Executive, the FCA, at 'The future of financial services', Lansons, London. -
From intellectual certainty to debate
What we have instead, replacing confidence and consensus, is an often difficult, uncertain debate in the wholesale space, centred on conduct and the complexity of translating political principles into professional practice. ... dotted line, to the fact -
Culture and governance
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the MetricStream Governance, Risk and Compliance Summit in London. This is the text of the speech as drafted, which may differ from the delivered version.