Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1481 to 1490 of 2441 search results for risk identification.

  1. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

  2. FCA research reveals increase in cryptoasset ownership

    Press Releases Published: 17/06/2021 Last modified: 17/06/2021
    New research conducted by the FCA has revealed an increase in cryptoasset ownership.

  3. Joint statement from UK Financial Regulation Authorities on London Metal Exchange and LME Clear

    Statements Published: 04/04/2022 Last modified: 04/04/2022
    The FCA intends to review the LME’s approach to managing the suspension and resumption of the market in nickel

  4. DP14/3 The use of dealing commission regime

    Discussion papers Published: 10/07/2014 Last modified: 25/11/2021
    We have carried out a review on whether further changes are needed to deliver a more transparent and efficient asset management sector for end investors.

  5. FCA statement on EU withdrawal following the March European Council

    Statements Published: 28/03/2018 Last modified: 28/03/2018
    The Financial Conduct Authority (FCA) welcomes the agreement reached on the terms of an implementation period that will apply following the UK’s withdrawal from the European Union.

  6. Navigating the UK's Digital Regulation Landscape: Where are we headed?

    Speeches Published: 22/04/2024 Last modified: 23/04/2024
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the Digital Regulation Cooperation Forum (DRCF)

  7. Brexit: information for the banking and payment sectors in the UK

    Firms Published: 26/02/2019 Last modified: 21/06/2022
    Information on how UK firms should approach servicing customers based in the EEA, now that the transition period has ended.

  8. FCA appoints members for the UK Secondary Markets Advisory Committee

    Markets News stories Published: 24/06/2024 Last modified: 24/06/2024
    The FCA has appointed the members of its advisory committee on secondary markets for the period June 2024 to June 2026.

  9. FCA warns firms over anti-money laundering failings

    News stories Published: 05/03/2024 Last modified: 05/03/2024
    We have warned firms about common failings we have found in financial crime controls.

  10. FCA to delay launch of Credit Information Market Study

    News stories Published: 27/11/2018 Last modified: 27/11/2018
    Credit reference agencies play an important role in the provision of this information to inform firms’ assessments of credit risk and affordability.Consumers may experience harm if this information is not
Related topics