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Showing 1401 to 1410 of 2441 search results for risk identification.
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SME collections and recoveries review
Findings from our multi-firm review assessing how retail banks treat their SME customers in collections and recoveries. -
German Property Group (GPG) companies enter preliminary bankruptcy proceedings
Joint statement from the FCA, the FSC) and the Financial Ombudsman Service on an unregulated, overseas property investment scheme. -
Climate Financial Risk Forum Guide 2020 - Scenario Analysis chapter [pdf]
This chapter represents the output from the cross-industry Scenario Analysis Working Group of the Climate Financial Risk Forum. The document aims to promote understanding, consistency and comparability by providing guidance on how to use scenario -
Retail Banking: Business Continuity Planning
We have recently reviewed business continuity planning (BCP) amongst a number of small and medium-sized retail banks, payments institutions and electronic money institutions. -
Information on investigations into breaches of COCON - May 2022
The FCA provides data on how many investigations into breaches of COCON it has opened since the inception of the Conduct Rules under SMCR. -
Compliance, Culture and Evolving Regulatory Expectations
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight. -
Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms
We recognise that firms directly affected by coronavirus (Covid-19) will need to keep their governance arrangements under review and make appropriate changes as circumstances change -
Research Note: EMIR data and derivatives market policies
In 2012, the European Union (EU) implemented the post-financial crisis G20 agreements on derivatives markets by adopting the European Market Infrastructure Regulation (EMIR). In this Research Note, we assess the impact of two key EMIR obligations -
Evolving our enforcement approach to protect and grow our markets
Speech by Therese Chambers, FCA joint executive director of enforcement and market oversight, delivered at The Market Abuse and Market Manipulation Summit. -
Two arrests connected to suspected illegal £1 billion cryptoasset business
The FCA, working with the Metropolitan Police Service, has conducted an operation to arrest 2 individuals, aged 38 and 44, suspected of running an illegal cryptoasset exchange.