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Showing 71 to 80 of 771 search results for identification of poor.

  1. Market Watch 74

    Newsletters Published: 25/07/2023 Last modified: 25/07/2023
    n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.

  2. Money laundering and supervising trusted professionals

    Speeches Published: 12/03/2019 Last modified: 30/08/2019
    OPBAS one year on report, highlights supervision and money laundering awareness failings and sets out ways to improve standards.

  3. FSA - Guidance Note No. 11 [pdf]

    Guidance consultations Published: 17/02/2011 Last modified: 02/05/2013
    As part of this work we have initiated a series of expert groups designed to bring together the FSA and operational risk practitioners at firms to share ideas on current practice, weaknesses, and possible improvements.

  4. Cryptoassets

    Cryptoassets Focus areas Last modified: 07/06/2024
    Our developing approach to regulating cryptoassets looks to mitigate the risks we see in the market while supporting technology that has the potential to benefit people.

  5. Russian invasion of Ukraine: financial sanctions and information

    Last modified: 06/09/2023
    Information for firms and market participants to consider following Russia's invasion of Ukraine

  6. FSA - FG12/21: Summary of feedback received [pdf]

    Finalised guidance Published: 01/11/2012 Last modified: 20/10/2014
    This guidance, that forms new material in ‘Financial crime: a guide for firms’, sets out examples of good practice and poor practice from our thematic review 'Banks' defences against investment fraud'.

  7. GC13/3 Examples of good and poor practice in “Banks’ control of financial crime risks in trade finance” [pdf]

    Guidance consultations Published: 02/07/2013 Last modified: 02/07/2013
    The proposed guidance sets out examples of good and poor practice to help banks strengthen their financial crime systems and controls in trade finance.

  8. PPI complaints

    PPI Consumers Published: 24/02/2023 Last modified: 24/02/2023
    Payment Protection Insurance (PPI) was often mis-sold to customers. Find out more about the deadline for PPI complaints, and how to protect yourself from scams.

  9. FCA review into mobile phone insurance finds examples of poor product design, unclear terms, and inadequate claims and complaints handling

    Press Releases Published: 27/06/2013 Last modified: 27/06/2013
    The Financial Conduct Authority (FCA) has published a review focusing on the way mobile phone insurance firms design products and handle claims from customers that have lost or damaged their phone, or had it stolen.

  10. Market Watch 71

    Newsletters Published: 13/12/2022 Last modified: 13/12/2022
    In this edition we share our observations about changes in advisory firms’ insider lists since the publication of Market Watch 60.