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Showing 1501 to 1510 of 2441 search results for risk identification.

  1. Accessing and using data in wholesale markets Call for Input

    Statements Published: 09/09/2019 Last modified: 09/09/2019
    The FCA said it would publish a Call for Input (CFI) to explore the access and use of data in wholesale markets. The FCA expects to publish this CFI in Q2 2019/20.

  2. Review on disclosure of costs by asset managers

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

  3. Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments

    Press Releases Published: 19/12/2013 Last modified: 30/08/2015
    Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments. ... Principle 3 requires firms to manage their business, and risks, responsibly and effectively.

  4. FS17/4: Distributed ledger technology

    Feedback statements Published: 10/04/2017 Last modified: 15/12/2017
    In April 2017 we published Discussion Paper DP17/3 to start a dialogue on the potential for future development of distributed ledger technology (DLT) in the markets we regulate. We are now publishing a Feedback Statement that summarises the feedback

  5. Tribunal upholds FCA fine on firm for misselling complex investments

    Press Releases Published: 27/11/2013 Last modified: 17/12/2013
    The Tribunal stated:. "Our view of Mr and Mrs [X] is that they were unsophisticated investors, with little, if any, understanding of the nature of the risks of the GTEP plan… ... given their attitude and circumstances at the time, […] they should

  6. Moorhouse fined for failures in relation to its telephone sales

    Press Releases Published: 23/04/2015 Last modified: 23/04/2015
    This put customers at risk of buying the wrong products and not having the right insurance cover.”. ... Without balanced information there was a risk that consumers were not able to make an informed decision as to whether the product was suitable for

  7. FCA sets out plans to improve engagement with pensions

    Press Releases Published: 01/12/2022 Last modified: 01/12/2022
    The FCA publishes a consultation on standards for operators of pension dashboards, and sets out requirements for providers of non-workplace pensions.

  8. St Machar Credit Union’s (SMCU) use of personal accounts

    Statements Published: 09/03/2015 Last modified: 09/03/2015
    SMCU’s failure to put in place adequate risk management systems commensurate to the nature of its business exposed its members to the risk of financial crime. ... St. Machar failed to recognise the risks associated with this action and failed to

  9. Scammers looking to exploit financial stress at Christmas, FCA warns

    Scams Press Releases Published: 06/12/2023 Last modified: 06/12/2023
    The FCA warns of the risk of loan fee fraud as almost two-thirds of parents feel pressured to spend above their means at Christmas.

  10. Next steps for LIBOR transition in 2020: the time to act is now

    Press Releases Published: 16/01/2020 Last modified: 16/01/2020
    The Bank of England (the Bank), Financial Conduct Authority (FCA) and the Working Group on Sterling Risk-Free Reference Rates (RFRWG) have published a set of documents today, outlining priorities and milestones for 2020 on LIBOR transition.
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