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Showing 1761 to 1770 of 2441 search results for risk identification.

  1. Tribunal upholds the Financial Conduct Authority’s decision to impose a partial ban on Tariq Carrimjee

    Press Releases Published: 21/10/2016 Last modified: 21/10/2016
    On 20 October 2016 the Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Tariq Carrimjee of Somerset Asset Management LLP (Somerset) from carrying out the compliance oversight and money laundering reporting significant

  2. FCA fines Barclays £26 million over treatment of customers in financial difficulty

    Press Releases Published: 15/12/2020 Last modified: 15/12/2020
    The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited (Barclays) £26 million for failures in relation to their treatment of consumer credit customers who fell into arrears

  3. Financial Conduct Authority appoints four new supervision directors

    Press Releases Published: 07/08/2013 Last modified: 09/12/2016
    The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its Supervision division. These appointments complete the senior structure in Supervision, and are the final step in implementing a new structure for the division

  4. Potentially Anomalous Trading Ratio 2019/20

    Data Published: 10/09/2020 Last modified: 11/06/2021
    The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets.

  5. How we can help consumers cope during the cost of living squeeze

    Blogs Published: 06/02/2023 Last modified: 06/02/2023
    In this blog, Sheldon Mills discusses the ways we can help consumers, and how we ensure customer protection when faced with financial challenges arising from the cost of living.

  6. FCA publishes interim findings of study into retirement income market

    Press Releases Published: 12/07/2017 Last modified: 12/07/2017
    The Financial Conduct Authority (FCA) has today published the interim findings of the Retirement Outcomes Review. Launched in July 2016, this is the first major comprehensive study into how the retirement income market is changing since the pension

  7. Besso Limited fined for anti-bribery and corruption systems failings

    Press Releases Published: 19/03/2014 Last modified: 19/03/2014
    failed to conduct an adequate risk assessment of Third Parties before entering into business relationships. ... did not carry out adequate due diligence on Third Parties to evaluate the risks involved in doing business with them.

  8. FCA publishes Wholesale Insurance Brokers Market Study final report

    Press Releases Published: 20/02/2019 Last modified: 07/05/2024
    The FCA has published the final report of its Wholesale Insurance Brokers market study which was launched in November 2017 to assess how competition was working in the sector.

  9. FCA bans debt management couple for misappropriating client money

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    The Financial Conduct Authority (FCA) has today banned Adrian and Christine Whitehurst, former directors of debt management firm First Step Finance Limited (now dissolved), for dishonestly misappropriating client money. Over 4000 customers lost a

  10. FCA finalises rules to improve the protection of client money and custody assets

    Press Releases Published: 10/06/2014 Last modified: 10/06/2014
    The changes will improve firms’ systems and controls around segregation, record keeping and reconciliations and set out how investment firms must address client assets risks within their business.
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