Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1631 to 1640 of 2441 search results for risk identification.

  1. Connaught independent review invites individuals to get in touch

    News stories Published: 15/10/2019 Last modified: 18/10/2019
    Connaught independent review invites individuals to get in touch

  2. TR16/3: Meeting investors’ expectations

    Thematic reviews Published: 07/04/2016 Last modified: 07/04/2016
    reflected within their own firm’s operations and take any action necessary to minimise the risk of poor outcomes to customers. ... Where fund management firms did not effectively manage the risks that could lead to poor customer outcomes, we will

  3. FCA confirms permanent ban on the sale of binary options to retail consumers

    Statements Published: 29/03/2019 Last modified: 29/03/2019
    FCA confirms permanent ban on the sale of binary options to retail consumers 

  4. FG17/8: Streamlined advice and consolidated guidance

    Finalised guidance Published: 28/09/2017 Last modified: 11/05/2018
    This is our finalised guidance on streamlined advice and the fact find process. The summary of feedback outlines the response to our consultation.  We have updated it to include guidance from our Advice Unit in response to queries received from

  5. FCA fines Standard Life Assurance Limited £30 million for non-advised pension sales failures

    Press Releases Published: 23/07/2019 Last modified: 23/07/2019
    The Financial Conduct Authority (FCA) has today fined Standard Life Assurance Limited (SLAL) £30,792,500 for failures related to non-advised sales of annuities.

  6. The Pensions Regulator and the FCA publish joint regulatory guide

    Press Releases Published: 21/03/2014 Last modified: 01/04/2014
    Christopher Woolard, director of policy, risk and research at the FCA said:. ... It has objectives to: protect members’ benefits; to reduce the risk of calls on the Pension Protection Fund (PPF); to promote, and to improve understanding of, the good

  7. Effective compliance with the Market Abuse Regulation – a state of mind

    Speeches Published: 14/11/2017 Last modified: 15/11/2017
    There is a risk therefore that systems and controls will only go so far if that critical thinking has not taken place. ... to also ask whether the institution has properly considered its regulatory obligations (set out in SYSC6.1.1R) to counter the risk

  8. Ensuring the UK remains open for business – requirements for foreign-owned firms

    Speeches Published: 13/11/2013 Last modified: 14/11/2013
    Speech by Clive Adamson, Director of Supervision, at the Association of Foreign Banks, London. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Illiquid assets and open-ended investment funds: DP17/1

    Discussion papers Published: 08/02/2017 Last modified: 09/05/2017
    We are launching a discussion about some of the risks created when consumers use open-ended funds to gain exposure to assets that may be difficult for the fund manager to buy, sell or value quickly. In this paper we refer to these assets as

  10. Call for Input: Supporting the development and adoption of RegTech

    News stories Published: 23/11/2015 Last modified: 06/04/2016
    the challenges and risks faced by FinTech firms in providing RegTech to financial services firms and those faced by financial services firms in adopting such.
Related topics