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Showing 1301 to 1310 of 2441 search results for risk identification.

  1. Secured Energy Bonds plc - options for investors

    News stories Published: 07/05/2019 Last modified: 07/05/2019
    We are aware that mini-bonds issued by Secured Energy Bonds plc (SEB) were sold to UK investors; this was without advice from financial advisers. SEB failed in 2015 and investors largely lost their investments. We explain the current options for

  2. Portfolio strategy letter wealth management and stockbroking supervision strategy [pdf]

    Correspondence Published: 23/07/2019
    This letter sets out FCA's view of the key risks of harm that Wealth Management and Stockbroking firms pose to their customers or the markets in which they operate. Firms should consider whether their firm presents these risks and consider their

  3. T Rowe Price (Clone of FCA Authorised Firm)

    Warnings Published: 10/06/2022 Last modified: 10/06/2022
    T Rowe Price (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

  4. How we process authorised fund applications

    Tasks for regulated firms Published: 11/05/2015 Last modified: 03/02/2023
    Find out how we process applications for fund authorisation, or to amend or wind up an authorised fund.

  5. FCA and TPR publish joint pensions strategy

    Press Releases Published: 18/10/2018 Last modified: 18/10/2018
    The Financial Conduct Authority (FCA) and The Pensions Regulator (TPR) have today launched a joint regulatory strategy aimed at strengthening their relationship, and taking joint action to deliver better outcomes for pension savers and those

  6. The FCA launches review into price comparison websites

    Press Releases Published: 24/11/2013 Last modified: 09/12/2016
    In its 2013 Conduct Risk Outlook and 2013/2014 Business Plan the FCA set out that it would be reviewing PCWs and highlighted two specific risks:. ... The FCA confirmed it would review PCWs in its 2013 Risk Outlook and its 2013/2014 Business Plan.

  7. 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 banking guide in relation to climate financial risk.

  8. Firms’ preparations to comply with the cryptoasset financial promotions regime – feedback on good and poor practice

    Good and poor practice Published: 07/09/2023 Last modified: 15/11/2023
    The FCA met with various regulated cryptoasset firms to understand how prepared they were. See findings and examples of good and poor practice.

  9. Sberbank CIB (UK) Limited goes into special administration

    News stories Published: 01/04/2022 Last modified: 01/04/2022
    Sberbank provides trading and execution services to its clients, including providing access to the Russian markets, and is authorised and regulated by the FCA

  10. House of Commons Treasury Committee’s ‘Sexism in the City’ report

    Statements Published: 08/03/2024 Last modified: 08/03/2024
    The FCA shares the Committee’s view that there is an important role for regulators to play.
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