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Showing 1181 to 1190 of 2441 search results for risk identification.

  1. Primary credit brokers

    Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
    Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application.

  2. Financial watchdog blocks thousands of misleading ads

    Press Releases Published: 03/02/2023 Last modified: 03/02/2023
    Social media remains a major focus for the FCA’s work in combatting misleading financial promotions.

  3. Partnerships, priorities and predictions for the future in the pensions market

    Speeches Published: 14/10/2021 Last modified: 25/08/2022
    Speech by Sarah Pritchard, Executive Director, Markets, to the Pensions and Lifetime Savings Association 

  4. First supervisory notice: Professional Construction Risks Limited [pdf]

    Supervisory notices Published: 31/08/2021
    First supervisory notice: Professional Construction Risks Limited

  5. Second supervisory notice: Professional Construction Risks Limited [pdf]

    Supervisory notices Published: 31/08/2021
    Second supervisory notice: Professional Construction Risks Limited

  6. FCA fines Barclays £72 million for poor handling of financial crime risks

    Press Releases Published: 26/11/2015 Last modified: 26/11/2015
    followed a less robust process than it would have done for other Business Relationships that had a lower risk profile. ... failed to monitor sufficiently on an ongoing basis the financial crime risks associated with the Business Relationship.

  7. MLA D: Lending - business flow and rates FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
    MLA D: Lending - business flow and rates FAQs

  8. Nut-Meg (Clone of FCA authorised firm)

    Warnings Published: 27/05/2022 Last modified: 27/05/2022
    Nut-Meg (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to protect

  9. FCA fines TFS-ICAP £3.44 million for market misconduct

    Press Releases Published: 23/11/2020 Last modified: 23/11/2020
    The Financial Conduct Authority (FCA) has fined TFS-ICAP Ltd, an FX options broker, £3.44m for communicating misleading information to clients.

  10. Insights from the 2020 Cyber Coordination Groups

    Research notes Published: 29/04/2021 Last modified: 29/04/2021
    Overview and insight from the latest quarterly Cyber Coordination Group meeting
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