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Showing 1151 to 1160 of 2441 search results for risk identification.
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Expect the unexpected: cyber security in 2017 and beyond
Speech by Nausicaa Delfas, Executive Director at the FCA, delivered at the Financial Information Security Network. -
International regulatory developments affecting investment management
Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024. -
RMA-E Professional indemnity insurance self certification: FAQs
RMA-E Professional indemnity insurance self certification: FAQs -
FCA clamps down on consumer investment harm
The FCA highlights the many ways in which it works to protect consumers from investment harm by stopping and disrupting potentially harmful firms and activities. -
TR14/7: Clarity of fund charges
The paper looks at the clarity of fund charges. It is important for investors to be able to understand and compare charges because, with performance and the levels of risk, they -
Adviser reporting requirements
The FCA needs information to show that you are complying with the Retail Distribution Review (RDR) rules. Learn how to stay compliant. -
Portfolio letter: FCA supervisory strategy for Mainstream Consumer Credit Lenders (MCCL) portfolio [pdf]
In this letter, we provide an updated view of the key risks that MCCL firms pose to their consumers and the markets in which they operate. Outline our expectations of MCCL firms, including how firms should be mitigating these key risks. Provide an -
Investment Association Annual Dinner 2017
Speech by Andrew Bailey, Chief Executive of the FCA, at the Investment Association Annual Dinner 2017. -
Shifting the dial on financial crime requires a collective push
Collaborative action across four areas of focus can help shift the dial in our efforts to fight financial crime. -
Three charged over CFD trading pension fraud
The FCA has charged 3 individuals with fraud for their alleged involvement in a high-risk trading scheme, which targeted people’s pension savings.