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Showing 161 to 170 of 2441 search results for risk identification.
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TR14/16 – How small banks manage money laundering and sanctions risk: update
This report follows the Financial Services Authority’s 2011 report on Bank’s management of high money-laundering risk situations (the 2011 AML review) and the subsequent enforcement action and regulatory guidance. -
FCA fines Ghana International Bank Plc £5.8m for failings in its anti-money laundering controls
Ghana International Bank Plc (GIB) £5,829,900 for poor anti-money laundering and counter-terrorist financing controls. -
Insurance multi-firm review of outcomes monitoring under the Consumer Duty
Our review of insurance firm approaches to monitoring customer outcomes. -
The Bank of England, PRA and FCA set out potential measures to oversee critical third parties in a move to increase resilience of the financial sector
The Bank of England, the Prudential Regulation Authority and FCA set out potential measures to oversee and strengthen the resilience of services provided by critical third parties to the UK financial sector. -
FCA asks Financial Advisers to review their processes in retirement income support
We have written to the Chief Executives of financial advice firms asking them to review their processes when providing retirement income advice. -
Consumer Duty: Findings from our review of fair value frameworks
Read the findings of our review into firms’ approaches to fair value assessments under the Consumer Duty. -
FG16/5: Guidance for firms outsourcing to the ‘cloud’ and other third party IT services
In November 2015, the FCA consulted on guidance to clarify the requirements on firms when outsourcing to the ‘cloud’ and other third party IT services. The FCA published the final guidance (FG16/5) in July 2016. -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions. -
Climate Financial Risk Forum (CFRF)
The Climate Financial Risk Forum (CFRF) brings together senior financial sector representatives to share their experiences in managing climate-related risks and opportunities. -
Getting to the gamers
The FCA InvestSmart campaign uses specific techniques to alert different groups of people to risks from investment offers.