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Showing 1201 to 1210 of 2441 search results for risk identification.

  1. Climate Financial Risk Forum Guide 2021: Climate Risk Training [pdf]

    Corporate documents Published: 21/10/2021
    Delivering climate risk training across all levels is an essential to embed climate risk into risk management practices and to help achieve climate strategies. This document aims to offer practical advice on developing and implementing an effective

  2. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Supervisory correspondence

    About us How we regulate Published: 18/07/2020 Last modified: 20/03/2024
    Find out how the FCA communicates with the firms it supervises.

  4. The view from the regulator: developing our approach

    Speeches Published: 10/03/2017 Last modified: 10/03/2017
    Speech by Mary Starks, Director of Competition at the FCA, delivered at the AIC conference ‘Making choices in uncertain times’.

  5. FSA - Unregulated Collective Investment Schemes: Letter to retail intermedieries [pdf]

    Correspondence Published: 18/06/2012 Last modified: 03/08/2016
    The unlawful promotion and mis-selling of UCIS is a key risk we have identified in the retail investment market. We have identified significant failings by certain distributor firms in relation to their UCIS activities and are concerned there may be

  6. CFRF Guide 2022: Scenario Analysis Working Group – Banking guide [pdf]

    Corporate documents Published: 12/12/2022
    This chapter from the Climate Financial Risk Forum (CFRF) represents output from the Scenario Analysis Working Group . The outputs represents a guide on physical insurance in relation to climate risk.

  7. Fighting financial crime – the force multiplier effect

    Speeches Published: 07/09/2022 Last modified: 07/09/2022
    Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD.

  8. Consumer warning on Semantic Business Services Ltd

    News stories Published: 11/04/2022 Last modified: 11/04/2022
    We have removed permissions from Semantic Business Services Ltd. It is no longer permitted to carry out any regulated activities.

  9. Penalties, remediation, and our General Principles

    Speeches Published: 13/02/2020 Last modified: 13/02/2020
    FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London.

  10. FCA and Bank of England statement on joint review of open-ended funds

    Statements Published: 16/12/2019 Last modified: 16/12/2019
    The Financial Policy Committee has set out initial findings of a joint review by the Financial Conduct Authority and the Bank of England on open-ended investment funds and the risks posed by their liquidity mismatch in its Financial Stability Report.
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