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Showing 1841 to 1850 of 2441 search results for risk identification.
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The FCA sees improvements in suitability at wealth managers, but concerns remain
However, some firms need to make substantial improvements in client information practices as well as ensuring the portfolios they manage truly reflect the needs and risk appetite of their customers. ... FSA’s finalised guidance (FG11/5): Assessing -
DP20/2: Prudential requirements for MiFID investment firms
This Discussion Paper sets out initial views as well as technical details on the Investment Firm Directive (IFD) and the Investment Firm Regulation (IFR). The Government will be introducing a framework for the new regime for UK firms. We are seeking -
FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
Research Note: Choosing wisely: preferences, comprehension and the effect of risk warnings on financial promotions for investment products
Our research from online laboratory experiments provides evidence-based understanding of how investors choose high risk investment products. -
Bank and FCA launch next phase of sterling Libor transition work
The Bank of England and the Financial Conduct Authority (FCA) are today announcing the next phase of work with market participants on Libor transition. -
Third consultation on new prudential regime for UK investment firms
We are asking UK investment firms to provide feedback on the UK Investment Firm Prudential Regime. -
The equity release sales and advice process: key findings
Key findings from our exploratory work on later life lending, where we considered the borrowing opportunities available to consumers aged 55 and over, focusing on lifetime mortgages. -
Drivers of change in the financial services industry and how we are responding
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the CDO Exchange for Financial Services. -
Ex-Mortgage Advisor sentenced to two years after FCA action
On Friday 12 July, at Maidstone Crown Court, following criminal action brought by the Financial Conduct Authority (FCA), Michael Joseph James Lewis was sentenced to two years in prison on two counts of making/supplying documentation for use in fraud -
The new simplified advice regime and the advice / guidance boundary review
Speech by Therese Chambers, our Director of Consumer Investments, delivered at the TISA Financial Advice and Guidance Conference.