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Showing 1131 to 1140 of 2441 search results for risk identification.

  1. Getting culture and conduct right - the role of the regulator

    Speeches Published: 13/07/2016 Last modified: 18/07/2016
    Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London.

  2. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

  3. FCA secures £130,000 to return to investors

    Press Releases Published: 17/05/2023 Last modified: 19/05/2023
    The FCA has secured two orders to return over £130,000 to victims of unauthorised investment arrangements and advice.

  4. FCA acts to protect consumers’ pension pots

    Press Releases Published: 28/06/2018 Last modified: 11/04/2024
    The FCA is consulting on a package of measures designed to protect consumers, improve engagement and promote competition in the retirement income market.

  5. Charles Randell speech at the Annual Public Meeting 2019

    Speeches Published: 17/07/2019 Last modified: 17/07/2019
    Speech by Charles Randell, Chair of the FCA, delivered at our 2019 Annual Public Meeting.

  6. Portfolio letter: Data Reporting Services Providers (DRSPs) [pdf]

    Correspondence Published: 31/05/2022
    This letter outlines our view of the key risks of harm in the DRSP portfolio and communicates what we expect DRSPs to do to minimise potential risks to consumers and market integrity from failures to meet regulatory requirements.

  7. CP14/28: MIPRU Simplification

    Consultation papers Published: 08/12/2014 Last modified: 07/02/2022
    This paper sets out our proposed changes to our Handbook to make it simpler for certain mortgage firms to calculate their capital requirements.

  8. Call for Input on access to insurance

    Feedback statements Published: 25/06/2018 Last modified: 04/04/2019
    We are publishing our response to the Call for Input on Access to Insurance. In this Call for Input we invited views on the ability of consumers who have, or have had cancer, to access travel insurance.

  9. TR15/1: Asset management firms and the risk of market abuse

    Thematic reviews Published: 18/02/2015 Last modified: 10/11/2023
    This paper presents our findings from the thematic review of how asset management firms control the risk of committing market abuse.

  10. Climate Financial Risk Forum Guide 2021: Scenario Analysis [pdf]

    Corporate documents Published: 21/10/2021
    This chapter represents the output from the cross-industry Scenario Analysis Working Group of the Prudential Regulation Authority and Financial Conduct Authority’s Climate Financial Risk Forum (CFRF).
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