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Showing 41 to 50 of 53 search results for compliance@fxopen.

  1. Effectiveness of the AML regime in disrupting financial crime

    Speeches Published: 10/11/2016 Last modified: 06/12/2016
    Opening comments by Rob Gruppetta, Head of the Financial Crime Department at the FCA, for a panel discussion at our Financial Crime Conference.

  2. Fighting financial crime – the force multiplier effect

    Speeches Published: 07/09/2022 Last modified: 07/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD.

  3. FXC Markets (Clone of FCA authorised firm)

    Warnings Published: 05/04/2018 Last modified: 19/10/2022
    Fraudsters copy the details of firms we authorise to try and convince people that their firm is genuine. Find out why you shouldn’t deal with this clone firm.

  4. The compliance function in wholesale banks

    Multi-firm reviews Published: 23/11/2017 Last modified: 28/11/2017
    We recently reviewed the compliance function in wholesale banks. This note summarises what we were told and some of our own observations. We also include more detailed information from our questionnaire.

  5. Reducing and preventing financial crime

    Corporate documents Published: 08/02/2024 Last modified: 08/02/2024
    We are providing an update on our progress and looking ahead to identify 4 areas of focus in the coming year.

  6. Our approach to cyber security in financial services firms

    Speeches Published: 21/09/2016 Last modified: 14/11/2016
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the FT Cyber Security Summit.

  7. The FCA strengthens the listing rules to enhance protection for shareholders

    Press Releases Published: 05/11/2013 Last modified: 27/11/2013
    The additional changes proposed include refinements to the definition of controlling shareholders, requirements for the boards of listed companies to confirm compliance with our rules and changes to the rules on

  8. Compliance, Culture and Evolving Regulatory Expectations

    Speeches Published: 26/04/2021 Last modified: 26/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

  9. Cyber resilience and supplier risk: moving beyond compliance

    Speeches Published: 17/11/2017 Last modified: 30/11/2017
    Speech delivered by Nausicaa Delfas, Chief Operating Officer at the FCA, at the Cyber Security Summit and Expo 2017

  10. Supporting material for applications by consumer credit, mortgage and other consumer finance firms

    Firm authorisation Published: 15/11/2023 Last modified: 13/12/2023
    If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything.