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Showing 131 to 140 of 771 search results for identification of poor.

  1. Executive committees

    About us Who we are Published: 02/04/2016 Last modified: 08/04/2024
    Find out about the FCA's executive committee members and how our management structure operates to ensure markets work well.

  2. Consumer credit – Treating customers fairly

    Consumer credit firms Published: 23/04/2019 Last modified: 16/02/2023
    We set out why treating customers fairly should be at the heart of your business.

  3. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  4. FCA fines investment firm Sesame £6m for failing to ensure advice given to customers was suitable and for poor systems and controls

    Press Releases Published: 05/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Sesame Limited (Sesame) £6,031,200 for two sets of failings: failing to ensure that investment advice given to its customers was suitable; and failings in the systems and controls that governed the

  5. The Evolution of the Mortgage Market

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    interest-only mortgages, the self-employed, those who previously needed to self-certify their incomes, and those with a poor credit record. ... This is a concern and is evidenced by the higher arrears rates of around 20% of all loans, a similar magnitude

  6. FCA response to the Davis Review

    Statements Published: 10/12/2014 Last modified: 10/12/2014
    We have introduced substantial improvement in the procedures relating to the identification, control and release of price sensitive information.

  7. FG14/5 - Examples of good and poor practice in ‘Banks’ control of financial crime risks in trade finance

    Finalised guidance Published: 11/06/2014 Last modified: 12/01/2023
    In July 2013, we consulted on examples of good and poor practice in ‘Banks’ control of financial crime risks in trade finance’. We proposed to include these examples in Financial crime: a guide for firms, our regulatory guidance, which sets

  8. Report mortgage fraud: advisers

    New firm authorisation Tasks for regulated firms Published: 24/02/2016 Last modified: 21/02/2023
    As a mortgage broker it is essential you have sufficient controls in place to prevent your firm being used for committing fraud. Read more about what you should report.

  9. Pension reforms and insistent clients

    Tasks for regulated firms Published: 18/02/2016 Last modified: 09/02/2023
    Find out the FCA position following the pension reforms in 2015, and the steps to take when advising insistent clients.

  10. A test of conscience

    Speeches Published: 23/02/2015 Last modified: 26/02/2015
    Forms of identification, for example, as well as impaired or unusual credit histories, medical histories, specific age profiles and so on.