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Showing 1831 to 1840 of 2441 search results for risk identification.

  1. Restrictions in relation to the retail distribution of contingent convertible instruments

    Temporary product interventions Published: 05/08/2014 Last modified: 09/12/2016
    The amendment clarifies the position. We regard CoCos as posing particular risks of inappropriate distribution to ordinary retail customers (i.e. ... European Securities and Markets Authority (ESMA) statement on the potential risks associated with

  2. FCA orders WealthTek Limited Liability Partnership to cease operations as High Court appoints Joint Special Administrators and arrest made

    News stories Published: 05/04/2023 Last modified: 14/09/2023
    BDO LLP to take interim control of WealthTek Limited Liability Partnership.

  3. FCA Statement on EMIR 1 March 2017 variation margin deadline

    News stories Published: 23/02/2017 Last modified: 23/02/2017
    In our supervision of firms’ progress, we will take a risk-based approach and use judgement as to the adequacy of progress, taking into account the position of particular firms and

  4. Regulated financial advice firms and individuals that attempt to avoid their redress liabilities

    Tasks for regulated firms Published: 14/12/2018 Last modified: 13/02/2023
    The FCA provides information to regulated financial advice firms

  5. FCA highlights concerns when credit firms allow repeat borrowing

    Press Releases Published: 06/08/2020 Last modified: 07/08/2020
    The FCA has today published the findings of a review into relending by firms that offer high-cost credit.

  6. Andrew Bailey speech on retail banking in the UK - reflections from the FCA

    Speeches Published: 29/06/2017 Last modified: 29/06/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the BBA Retail Banking Conference on retail banking in the UK – reflections from the FCA.

  7. FCA today announces future work on climate change and green finance

    Press Releases Published: 16/10/2019 Last modified: 11/04/2024
    The FCA has published a feedback statement setting out its proposals to improve climate change disclosures by issuers and information to consumers on green financial products and services.

  8. FS20/2: Patient Capital and Authorised Funds

    Feedback statements Published: 12/12/2018 Last modified: 28/02/2020
    This Feedback Statement summarises responses from DP18/10 on whether there are unnecessary barriers to investing in patient capital through authorised funds.

  9. FCA proposes ban on sale of crypto-derivatives to retail consumers

    Press Releases Published: 03/07/2019 Last modified: 04/09/2020
    The FCA is proposing rules to address harm to retail consumers from the sale of derivatives and exchange traded notes referencing certain types of cryptoassets.

  10. Building operational resilience: impact tolerances for important business services

    Press Releases Published: 05/12/2019 Last modified: 31/03/2020
    The Bank of England (the Bank), Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published a shared policy summary and co-ordinated consultation papers (CPs) on new requirements to strengthen operational
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