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Showing 131 to 140 of 639 search results for identification and treatment.

  1. CP15/36: Future regulatory treatment of CCA regulated first charge mortgages [pdf]

    Consultation papers Published: 06/11/2015 Last modified: 06/11/2015

  2. TR15/10: Fair treatment for consumers who suffer unauthorised transactions [pdf]

    Thematic reviews Published: 28/07/2015 Last modified: 28/07/2015

  3. GC19/3: Guidance for firms on the fair treatment of vulnerable customers [pdf]

    Guidance consultations Published: 23/07/2019 Last modified: 23/07/2019
    Protecting vulnerable consumers is a key priority for the FCA. There are many different drivers of vulnerability, and our Financial Lives Survey showed that 50% of UK adults display one or more characteristics of being potentially vulnerable.

  4. FSA - CP11/26 [pdf]

    Consultation papers Published: 16/11/2011 Last modified: 30/05/2013
    Consultation FSA - CP11/26 - The FSA's Consultation Paper CP11/26 is entitled 'Distribution of retail investments: RDR Adviser Charging - treatment of legacy assets'.

  5. FG17/6: The treatment of politically exposed persons for anti-money laundering purposes [pdf]

    Finalised guidance Published: 06/07/2017
    We are publishing finalised guidance for how financial services firms should treat customers who are politically exposed persons when meeting their anti-money laundering obligations.

  6. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    The first three of the 5 Conduct Questions focus on the identification of conduct risk; ensuring that staff within regulated firms feel and are responsible for managing the conduct of their ... That is why developing the effective ‘conduct risk

  7. GC17/2: Treatment of politically exposed persons (PEPs) under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 [pdf]

    Guidance consultations Published: 16/03/2017
    We are consulting on new guidance for how financial services firms should treat customers who are politically exposed persons when meeting their anti-money laundering obligations.

  8. Accessibility statement

    Last modified: 30/06/2023
    Read the accessibility statement for fca.org.uk

  9. UK SFTR news

    Published: 05/03/2021 Last modified: 23/10/2023
    Read FCA news updates on the UK Securities Financing Transactions Regulation (UK SFTR).

  10. 2016 fines

    News stories Published: 02/01/2016 Last modified: 02/02/2017
    This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).