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Showing 671 to 680 of 767 search results for risk during LIBOR.

671. TR15/5: Provision of premium finance to retail general insurance customers

     Thematic reviews Published: 11/05/2015 Last modified: 30/08/2016
     struggle to compare pricing. enter into premium finance arrangements without understanding the key features, terms and risks of the agreement. ... supervisory engagement with firms to ensure that they address specific issues identified during our review.

672. FCA and ASA team up with Sharon Gaffka to warn fin-fluencers of risks of promoting illegal ‘get rich quick’ schemes

     Press Releases Published: 06/04/2023 Last modified: 06/04/2023
     We and the ASA will be engaging with influencers, providing them with clear information about what could be an illegal financial promotion.

673. Gaming trading: how trading apps could be engaging consumers for the worse

     Research articles Published: 21/11/2022 Last modified: 01/02/2023
     You may be familiar with the jumping green owl celebrating your completion of a Duolingo language lesson. Or perhaps you compete against your friends on Strava to run the most miles in a month. These are all examples of gamification – the use of

674. Coronavirus and safeguarding customers’ funds: proposed guidance for payment firms

     Policy and guidance Guidance consultations Published: 22/05/2020 Last modified: 05/06/2020
     Short consultation proposing additional temporary guidance to strengthen payment firms’ prudential risk management and arrangements for safeguarding customers’ funds in light of the exceptional circumstances of the coronavirus pandemic

675. J.P. Morgan International Bank fined for systems and controls failings in its wealth management business

     Press Releases Published: 23/05/2013 Last modified: 22/11/2021
     The Financial Conduct Authority has fined J.P. Morgan International Bank Limited (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

676. A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I

     Speeches Published: 24/09/2021 Last modified: 24/09/2021
     Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum

677. FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings

     Press Releases Published: 03/08/2010 Last modified: 29/11/2021
     The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions.

678. FCA publishes the findings of its work into annuities sales practices and retirement income market

     Press Releases Published: 11/12/2014 Last modified: 11/12/2014
     The FCA has identified future risks and has set out what they will be looking for as the market develops. ... During any transitional period, the ABI code will remain in force for its members.

679. Firms continue to fail to meet our expectations on their use of dealing commission

     Multi-firm reviews Published: 03/03/2017 Last modified: 29/11/2021
     We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015.

680. Consumer Duty implementation: good practice and areas for improvement

     Good and poor practice Published: 20/02/2024 Last modified: 22/02/2024
     What firms are doing well and what they could do better.