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Showing 1541 to 1550 of 2441 search results for risk identification.
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FCA publishes Decision Notice for former UBS LIBOR trader
Mr Hussein closed his mind to the risk that UBS’s GBP Trader-Submitters would use his preferences to influence the GBP LIBOR submissions they made on behalf of UBS, with ... and failing to take reasonable care to organise its affairs responsibly and -
FCA confirms speculative mini-bond mass-marketing ban
The FCA has confirmed proposals to permanently ban the mass-marketing of speculative illiquid securities - including speculative mini-bonds - to retail investors. -
The regulation of advice – recommendations post FAMR
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Westminster and City industry forum on FAMR, on 13 April 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
MRB - Multi Risk Benefits Limited (clone of FCA authorised firm)
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'. -
FSA publishes consultation on framework for the consumer credit regime
The Financial Services Authority (FSA) has published its consultation on how it plans to introduce a strong and flexible regime to regulate consumer credit. The regime is tailored to address the risks that face consumers without putting undue -
National campaign will target those most at risk of investment fraud, says FCA
Using funds recovered from the proceeds of crime, the FCA has launched a national campaign to warn people about investment fraud and how to spot a potential scam. -
FCA bans and fines former insurance broker £140,000
The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity. -
Adviser Mark Abley pays £106k for poor pension transfer advice
The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers. -
Mainstream Consumer Credit Lenders portfolio letter [pdf]
We set out our view of the risks Mainstream Consumer Credit Lenders may pose to their consumers or the markets in which they operate. -
Early arrears management in unsecured lending: TR16/10
This report provides the findings from our thematic review into early arrears management in unsecured lending. The review looked at the way lenders treated customers in the early stages of arrears.