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Showing 1471 to 1480 of 2441 search results for risk identification.

  1. OPBAS publishes report on progress and themes from 2019

    Press Releases Published: 19/03/2020 Last modified: 19/03/2020
    The FCA’s Office for Professional Body Anti-Money Laundering Supervision (OPBAS) has today released its latest report on progress made in tackling money laundering over the past year.

  2. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

  3. Payday lenders failing customers in arrears, says FCA

    Press Releases Published: 10/03/2015 Last modified: 10/03/2015
    These include changes to senior management, training staff to deal with struggling customers and improving monitoring, compliance and managing risk. ... improving approaches to monitoring, compliance and managing risk. The FCA reviewed a selection of

  4. Sheree Howard: Executive Director, Risk and Compliance Oversight, External, Board & Executive Committee Meetings for 1 April - 30 June 2021 [pdf]

    FOI releases Published: 02/08/2021
    Sheree Howard: Executive Director, Risk and Compliance Oversight, External, Board & Executive Committee Meetings for 1 April - 30 June 2021

  5. Sheree Howard - Executive Director of Risk and Compliance Oversight external meetings 1 January - 31 March 2021 [pdf]

    FOI releases Published: 04/05/2021
    Sheree Howard - Executive Director of Risk and Compliance Oversight external meetings 1 January - 31 March 2021.

  6. Scenario analysis working group: Climate litigation risk chapter [pdf]

    Corporate documents Published: 13/12/2022
    This chapter represents the output from the cross-industry Scenario Analysis Working Group of the Prudential Regulation Authority and Financial Conduct Authority’s Climate Financial Risk Forum (CFRF).

  7. Creating a fair and competitive environment for retail banking in the interests of consumers

    Speeches Published: 26/11/2014 Last modified: 26/11/2014
    Speech by Karina McTeague, Director of Retail Banking, the FCA. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Further guidance on enhancing resilience in Liability Driven Investment

    Multi-firm reviews Published: 24/04/2023 Last modified: 24/04/2023
    The FCA contacted asset managers as they enhance their resilience and review the vulnerabilities they experienced. This publication shares guidance and recommendations for LDI managers.

  9. FCA fines The Carphone Warehouse over £29m for insurance mis-selling

    Press Releases Published: 13/03/2019 Last modified: 20/12/2019
    The Financial Conduct Authority (FCA) has fined The Carphone Warehouse £29,107,600 for failings that led to the mis-selling of ’Geek Squad’, a mobile phone insurance and technical support product. This follows an FCA investigation which stemmed

  10. Credit Rating Agency UK Market Share Report for 2022

    Corporate documents Published: 30/11/2023 Last modified: 30/11/2023
    This report provides an in-depth overview of the total market share held by UK-registered credit rating agencies (CRA).
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