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Showing 1621 to 1630 of 2441 search results for risk identification.

  1. Blue Gate Capital Limited ordered to pay Connaught investors £203,007

    Press Releases Published: 18/12/2020 Last modified: 18/12/2020
    The FCA has publicly censured Blue Gate Capital Limited (Blue Gate) and ordered it to pay £203,007 in restitution to investors who lost money investing in the Connaught Income Fund, Series 1 (the Fund). 

  2. FCA seeks views on how to improve the consumer investment market

    Press Releases Published: 15/09/2020 Last modified: 15/09/2020
    We launched a Call for Input (CFI) to help shape our work on improving the consumer investment market. 

  3. Temporary Registration Regime extended for cryptoasset businesses

    Press Releases Published: 03/06/2021 Last modified: 03/06/2021
    The extended end date will allow cryptoasset firms to continue trading while the FCA continues with its assessments.

  4. Darren Newton banned from working in the financial services sector

    Press Releases Published: 20/12/2018 Last modified: 20/12/2018
    The Financial Conduct Authority (FCA) has today banned Darren Lee Newton from working in the financial services sector. The FCA discovered Mr Newton used customers’ money for the purchase of the debt management firm, First Step Finance Limited.

  5. The Climate Financial Risk Forum publishes its guide to help the financial industry address climate-related financial risks

    Press Releases Published: 29/06/2020 Last modified: 12/03/2024
    The Climate Financial Risk Forum (CFRF) has published a guide written by industry for industry to help firms approach and address climate-related financial risks.

  6. FCA publishes final rules to strengthen investor protections in SPACs

    News stories Published: 27/07/2021 Last modified: 27/07/2021
    The FCA has published final rules and changes to its Listing Rules for certain special purpose acquisition companies (SPACs)

  7. Strengthening the FCA’s 2nd Line - Assurance Letter - Oliver Wyman [pdf]

    Corporate documents Published: 21/10/2015 Last modified: 21/10/2015
    In January 2015 the FCA Strengthened its control framework by creating the Risk and Compliance Oversight Division. This will be the key second line of defence working with regulatory divisions and internal audit. Subsequently we commissioned Oliver

  8. Dear CEO letter: Firms’ preparations for transition from LIBOR to risk-free rates - insurers [pdf]

    Correspondence Published: 19/09/2018
    The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) are writing to the CEOs of large banks and insurance companies regarding the ongoing global benchmark reform effort mandated by the Financial Stability Board (FSB),

  9. Helping firms provide more support to customers making investment decisions

    Firms Published: 03/08/2023 Last modified: 30/10/2023
    Examples on providing consumers with greater levels of support, including getting closer to the advice guidance boundary for giving a personal recommendation.

  10. Call for Inputs: Big Data in retail general insurance

    News stories Published: 24/11/2015 Last modified: 26/06/2017
    We recognise that the use of Big Data brings both benefits and risks for consumers.
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