Search results
Showing 1571 to 1580 of 2441 search results for risk identification.
-
FCA confirms approach for financial promotions in social media
One way of managing this risk is the use of software that enables advertisers to target particular groups very precisely. ... Risk warnings and other required statements – Firms are reminded that there are requirements to include risk warnings or other -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016. -
FCA proposes stronger requirements on oversight of appointed representatives
FCA launches consultation on improving the appointed representatives regime and tackling harm from this model. -
Building societies: Facing the challenges and opportunities head on
Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the Building Societies Association Annual Conference on 19 May 2016, in Gateshead. -
Overseas appointed representatives
Read more about the challenges and expectations for principal firms with overseas appointed representatives (OARs). -
Basset & Gold plc (B&G plc) and B&G Finance Ltd (B&G Finance) enter administration
On 1 April 2020 the directors of B&G plc and B&G Finance decided to place the firms into administration. Paul Boyle, David Clements and Anthony Murphy, insolvency practitioners of Harrisons Business Recovery and Insolvency were appointed as -
Portfolio letter: Our supervisory strategy for Principal Trading Firms [pdf]
This letter details our view of the most important risks arising from Principal Trading firms, what we think drives those risks, and the FCA’s supervisory focus for the next two years. -
TR13/10 - Outsourcing in the asset management industry
We have published the findings from our review that assessed whether asset managers are effectively mitigating the risks relating to outsourcing. -
Portfolio Letter on Risks Life Insurance firms pose to consumers or markets [pdf]
The purpose of this letter is to set out our view of the key risks of harm Life Insurance firms pose to their customers or the markets in which they operate. -
Mortgages and coronavirus - enabling positive consumer outcomes
Jonathan Davidson, Executive Director of Supervision Retail and Authorisations, speech delivered online as introduction to Mortgage Forbearance Webinars, 30 September 2020.