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Using artificial intelligence to keep criminal funds out of the financial system
Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, delivered to the FinTech Innovation in AML and Digital ID regional event, London. -
Effective global regulation in capital markets
Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to ICI Global Conference, London -
FCA issues first statement of objections to four asset management firms
The Financial Conduct Authority (FCA) has issued a statement of objections to four asset management firms: Artemis Investment Management LLP, Hargreave Hale Ltd, Newton Investment Management Limited and River & Mercantile Asset Management LLP. The -
FCA fines bond trader £60,000 for market abuse
The Financial Conduct Authority (FCA) has imposed on Paul Walter, a former Bank of America Merrill Lynch International Limited (BAML) bond trader, a financial penalty of £60,090 for engaging in market abuse. -
Effective compliance with the Market Abuse Regulation – a state of mind
Whilst one of the most visible indicators of that focus is our enforcement action, the simple reality is that it is reflected across the supervisory, monitoring, investigation and enforcement activities – much ... As Mark Steward, FCA Director of -
Capita Financial Managers to pay up to £66 million for the benefit of investors in the Connaught Income Fund, Series 1
The Financial Conduct Authority has today announced that Capita Financial Managers Limited (CFM) has been publicly censured and will pay up to £66 million to those investors who suffered loss as a result of investing in the Guaranteed Low Risk -
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 -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016. -
FCA bans debt management couple for misappropriating client money
The Financial Conduct Authority (FCA) has today banned Adrian and Christine Whitehurst, former directors of debt management firm First Step Finance Limited (now dissolved), for dishonestly misappropriating client money. Over 4000 customers lost a -
Rio Tinto plc fined £27m for breaching Disclosure and Transparency Rules
The Financial Conduct Authority (FCA) has fined Rio Tinto plc (Rio Tinto) £27,385,400 for breaching Disclosure and Transparency Rules (Disclosure Rules).