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Showing 1711 to 1720 of 2441 search results for risk identification.

  1. Traded life policy investments: alert for financial advisers

    News stories Published: 24/09/2014 Last modified: 25/09/2014
    Firms that recommended to their clients that they invest into the EEA Life Settlements Fund should check that they have followed our 2012 guidance.

  2. The FCA appoints adviser on wholesale banking and investment management

    Press Releases Published: 07/02/2014 Last modified: 29/11/2016
    2007-2012. UBS. MD Risk management products. 1993-2007. SBC Merchant Bank. Director.

  3. GC16/5: Proposed guidance on wind-down planning

    Guidance consultations Published: 23/05/2016 Last modified: 23/05/2016
    evaluating the risks and impact of such actions and considering how to mitigate them.

  4. FCA looks for members to help shape secondary markets work

    News stories Published: 01/03/2022 Last modified: 22/04/2024
    The FCA is establishing a new advisory committee on secondary markets and is looking for expressions of interest from market participants to join it.

  5. Skilled Persons appointments 2017-2021 information – October 2021

    FOI Release Date of Release: 06/10/2021
    FCA provides Skilled Persons appointments 2017-2021 information.

  6. Research Note: Choosing wisely [pdf]

    Research notes Published: 18/06/2020 Last modified: 18/06/2020
    Our research from online laboratory experiments provides evidence-based understanding of how investors

  7. FG13/7 - Dealing fairly with interest-only mortgage customers who risk being unable to repay their loan

    Finalised guidance Published: 29/08/2013 Last modified: 29/08/2013
    In May 2013, we consulted on guidance about dealing fairly with interest-only mortgage customers who risk being unable to repay their loan.

  8. Updating and improving the UK regime for asset management: our priorities

    Speeches Published: 12/10/2023 Last modified: 12/10/2023
    Speech by Ashley Alder, Chair, delivered at the Investment Association’s Annual Dinner.

  9. Derivation and changes tables

    Firms Published: 15/12/2023 Last modified: 15/12/2023
    This page contains an interactive version of the tables derivation and changes tables produced by the FCA in policy statements dealing with the repeal and replacement of retained EU law.

  10. TR18/3: Money Laundering and Terrorist Financing Risks in the E-Money Sector

    Thematic reviews Published: 03/10/2018 Last modified: 03/10/2018
    This report shares the findings of our thematic review into money laundering and terrorist financing risks in the e-money sector.
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