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Showing 1781 to 1790 of 2441 search results for risk identification.

  1. FCA fines compliance oversight officer for pension transfer failings

    Press Releases Published: 14/07/2017 Last modified: 14/07/2017
    The Financial Conduct Authority (FCA) has today fined David Watters £75,000 for failing to exercise due skill, care and diligence in his role as compliance oversight officer, firstly at FGS McClure Watters (FGS) and then Lanyon Astor Buller Ltd (LAB

  2. Cyber and Technology Resilience: Themes from cross-sector survey 2017-18

    Research insights Published: 27/11/2018 Last modified: 14/01/2019
    To gain a better understanding of the industry’s resilience, we surveyed 296 firms during 2017 and 2018 to assess their technology and cyber capabilities.

  3. Tribunal upholds FCA ban and significant fine on insurance broker

    Press Releases Published: 28/06/2013 Last modified: 17/09/2013
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for

  4. Agreements with overseas regulators

    About us How we regulate Last modified: 15/01/2024
    Multilateral and bilateral Memoranda of Understanding (MoUs) and other agreements signed by the FCA.

  5. PS19/8: Increasing the award limit for the Financial Ombudsman Service

    Policy statements Published: 16/10/2018 Last modified: 08/03/2019
    Following our Consultation Paper CP18/31, we are increasing the Financial Ombudsman Service’s award limit. The award limit sets the maximum amount of compensation the ombudsman service can require financial services firms to pay when it upholds a

  6. PS18/19: Assessing creditworthiness in consumer credit

    Policy statements Published: 31/07/2017 Last modified: 30/07/2018
    In this Policy Statement we respond to feedback arising from CP17/27 (PDF) and publish final rules and guidance on assessing creditworthiness in consumer credit.

  7. Nutmeg Savings and Investments (Clone of FCA authorised firm)

    Warnings Published: 16/03/2021 Last modified: 16/03/2021
    Nutmeg Savings and Investments (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised

  8. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

    Press Releases Published: 16/03/2015 Last modified: 16/03/2015
    The FCA expects all firms who deal with retail consumers to read the report and take action to ensure they are managing this risk.. ... Guidance consultation and thematic report – Risks to customers from performance management at firms..

  9. FCA says general insurance add-on industry must make changes

    Press Releases Published: 11/03/2014 Last modified: 11/03/2014
    Christopher Woolard, director of policy, risk and research at the FCA, said:.

  10. Update on FCA test case of the validity of business interruption claims

    Press Releases Published: 01/06/2020 Last modified: 01/06/2020
    FCA update on progress on its court action on business interruption (BI) insurance policies
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