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Showing 1431 to 1440 of 2441 search results for risk identification.

  1. CP13/17: Use of dealing commission

    Consultation papers Published: 25/11/2013 Last modified: 30/11/2021
    We are consulting on proposed changes to our use of dealing commission rules in our Conduct of Business Sourcebook (COBS).

  2. FCA publishes coronavirus financial resilience survey data

    Press Releases Published: 07/01/2021 Last modified: 07/01/2021
    The FCA has published the results of its coronavirus (Covid-19) financial resilience surveys. The surveys were sent to solo-regulated firms to inform the FCA of the impact of coronavirus on firms’ financial resilience.

  3. Consumer credit and consumers in vulnerable circumstances

    Research insights Published: 01/04/2014 Last modified: 02/12/2014
    To understand more about the experiences of consumers most at risk of unmanageable debt, we have conducted primary research looking at the attitudes towards, and use of, credit for people on ... This includes the work we have already announced in our

  4. Information on the FCA approval times for people in certain roles

    FOI Release Date of Release: 24/06/2021
    The FCA provides information on the approval times for people in chief executive officer, chief financial officer and chief risk officer roles.

  5. Understanding complaints root cause analysis

    Focus areas Published: 15/08/2018 Last modified: 15/08/2018
    We recognise that firms of different size, scale and complexity have different systems for complaints. It is important for complaints root cause analysis (RCA) to distinguish between a symptom and the root cause of a complaint. This hypothetical

  6. The FCA's response to COVID-19 and expectations for 2020

    Speeches Published: 04/06/2020 Last modified: 04/06/2020
    Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at PIMFA’s Virtual Festival.

  7. FCA publishes feedback statement on Big Data Call for Input

    Press Releases Published: 21/09/2016 Last modified: 02/03/2017
    The Financial Conduct Authority (FCA) ​​​​​today published a feedback statement following its Call for Input on Big Data in retail general insurance. The FCA announced in November 2015 that it wanted to better understand the use of data

  8. First Supervisory Notice 2021: BDSwiss Holding Plc [pdf]

    Supervisory notices Published: 05/08/2021
    The FCA has acted to stop Cypriot-based firm, BDSwiss Holding Plc, and other members of the BDSwiss Group from offering high risk contracts for differences (CFDs) to UK investors

  9. FCA to move faster to remove unused firm permissions

    Press Releases Published: 09/09/2021 Last modified: 09/09/2021
    The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions that are no longer being used by financial services firms.

  10. FCA publishes review into unsecured credit market

    Press Releases Published: 02/02/2021 Last modified: 02/02/2021
    We have published a report on change and innovation in the unsecured consumer credit market following a Review by former Interim Chief Executive, Christopher Woolard CBE
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