2022年4月22日 · The Financial Conduct Authority has raised concerns over the adequacy of challenger banks’ defences against financial crime, after a “substantial” increase in suspicious activity reports filed...

2023年10月27日 · An independent review into how NatWest handled the closure of politician Nigel Farage’s Coutts account uncovered potential regulatory breaches by the bank that are on the radar of the U.K. Financial Conduct Authority (FCA).

2024年3月5日 · Financial firms’ anti-money laundering controls aren’t keeping up with business growth, the U.K.’s Financial Conduct Authority (FCA) says. The regulator warned a broad group of firms that are required to comply with anti-money laundering regulations about common weaknesses in their financial crime controls.

A senior U.S. Department of Justice official said Thursday that the Trump administration's focus on government efficiency will include "aggressively" enforcing the False Claims Act, including a ...

The bank provides guidance on recognising red flags in trade finance transactions. No clear escalation procedures for high-risk transactions. Procedures fail to take account of the parties involved in a transaction, the countries where they are based and the nature of the good involved.

4 天之前 · The FCA flags that sell-side wholesale firms subject to the IFPR should, by definition, not be globally systemic; however, many are key participants in certain specific markets like commodities, metals, and energy, whose structure differs from equities, fixed income or derivatives. It warns that a disorderly failure of one or more of these ...

2025年2月25日 · The UK’s Financial Conduct Authority (FCA) has found that most financial advice firms are delivering suitability reviews as required, but gaps remain in a small number of cases, prompting calls for stricter adherence to regulatory obligations.

2022年4月22日 · A recent review conducted by the Financial Conduct Authority (FCA), has found that some challenger banks have significant weaknesses within their financial crime controls, and need to improve how they assess financial crime risk.

2023年6月29日 · The Financial Conduct Authority (FCA), the UK conduct regulator for financial services firms and financial markets, announced today the publication of a letter to banks and companies, outlining a series of market integrity concerns related to the sustainability-linked loan (SLL) market that it said could hold back the development of a useful ...

2023年6月29日 · Sustainability-linked loans are supposed to facilitate the transition to a low-carbon economy, but a review by the U.K.’s Financial Conduct Authority (FCA) finds an array of regulatory concerns, including greenwashing risks, conflicts of interest and disclosure issues.