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Showing 1211 to 1220 of 2441 search results for risk identification.

  1. FCA Portfolio: High cost lending letter 2022 [pdf]

    Correspondence Published: 06/10/2022
    This letter provides FCA’s updated view of the key risks that High Cost Lenders pose to their consumers or the markets they operate in. It is important that firms during the cost of living that firms proactively take steps to manage and mitigate

  2. CFD firms fail to meet our expectations on appropriateness assessments

    Multi-firm reviews Published: 29/06/2017 Last modified: 29/06/2017
    Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms.

  3. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

    Press Releases Published: 05/06/2015 Last modified: 08/11/2016
    FCA appoints new Director of Enforcement and Market Oversight and Director of Risk. ... was Managing Director, Global Head of Model Validation also representing Santander’s Risk division and Public Policy in various international forums.

  4. MiFID II and the fight against financial crime

    Speeches Published: 11/07/2018 Last modified: 20/07/2018
    FCA Director of Enforcement and Market Oversight, Mark Steward, delivers a speech on MIFID II and ways to fight financial crime.

  5. The new pension flexibilities – update from the FCA

    Statements Published: 30/06/2015 Last modified: 12/04/2024
    An update on FCA activity on pension flexibilities.

  6. Implementing Technology Change

    Firms Multi-firm reviews Published: 05/02/2021 Last modified: 05/02/2021
    This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce

  7. CFRF Guide 2022: Scenario Analysis - financial firms [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 relate to scenario analysis for financial firm relating to climate risk.

  8. Sheree Howard – Executive Director, Risk and Compliance Oversight, diary engagements, July – September 2021 [pdf]

    FOI releases Published: 05/11/2021
    External meetings excluding meetings with regulated firms, 1 July – 30 September 2021

  9. What does the future of insurance broking look like?

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Simon Green, Head of General Insurance and Protection, the FCA, at the Incisive Media Insurance Age Regulation event, London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. FCA publishes annual report on the regulatory perimeter

    Press Releases Published: 29/09/2020 Last modified: 25/02/2021
    FCA publishes 2019/20 report on the regulatory perimeter
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