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Showing 41 to 50 of 771 search results for identification of poor.

  1. Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine

    Good and poor practice Published: 06/09/2023 Last modified: 20/03/2024
    We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions.

  2. Insistent clients: good and poor practice

    Tasks for regulated firms Published: 24/02/2016 Last modified: 09/02/2023
    Find out more about what the FCA consider to be good and poor practice when advising insistent clients.

  3. Financial crime

    Tasks for firms Published: 30/07/2015 Last modified: 11/03/2024
    Integrity of the UK's financial markets requires the FCA to ensure firms have effective systems and controls to detect, prevent and deter financial crime. Learn from good and poor examples and browse our guide to financial crime.

  4. OPBAS supervisory update: Risk identification and verification [pdf]

    Corporate documents Published: 03/08/2023
    We asked PBSs for responses to a questionnaire focused on risk identification and verification. We wrote to Professional Body Supervisors (PBSs) with our views in June 2023.

  5. Office for Professional Body Anti-Money Laundering Supervision (OPBAS)

    About us How we operate Published: 23/01/2018 Last modified: 10/05/2024
    OPBAS is the Office for Professional Body Anti-Money Laundering Supervision

  6. Credit Poor (clone of FCA authorised firm)

    Warnings Published: 31/08/2016 Last modified: 31/08/2016
    We have published this statement in order to warn investors against dealing with unauthorised firms.

  7. Pensions transfer advice checker

    Last modified: 20/03/2023
    Warning message. Revision state: Published. Most recent revision: No.. Pensions transfer advice checker. First published: 21/04/2022 Last updated: 20/03/2023. Share page. Pensions transfer advice checker. Your adviser didn't ask you for all of the

  8. What firms should focus on

    Good and poor practice Published: 05/08/2015 Last modified: 14/06/2023
    The FCA's key messages for firms on unfair contract terms and examples of good and poor practice.

  9. Assessing and monitoring consultants

    Tasks for regulated firms Published: 09/05/2015 Last modified: 31/01/2023
    Make sure potential consultants can offer the service you need. We provide good and poor practice examples.

  10. PS20/13: Amendments to the open banking identification requirements (eIDAS certificate)

    Policy statements Published: 03/11/2020 Last modified: 18/01/2021
    We outline feedback to CP20/18 and confirm near final rules to amend Article 34(1) of the UK-RTS, with minor changes to the proposal in CP20/18.