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Showing 1851 to 1860 of 2441 search results for risk identification.

  1. TR14/4 – Risks to customers from financial incentives – an update

    Thematic reviews Published: 04/03/2014 Last modified: 13/03/2024
    This report summarises the findings of our follow-up thematic work into financial incentives which assessed whether firms are now managing the risks to consumers.

  2. The Financial Conduct Authority seeks views on its approach to small businesses

    Press Releases Published: 27/11/2015 Last modified: 27/11/2015
    The FCA’s own research has found that complex products, limited choice and poorly managed expectations may expose SMEs to risk; so can cognitive and behavioural biases.

  3. Open access regime for the trading and clearing of exchange-traded derivatives

    Statements Published: 11/06/2020 Last modified: 31/12/2020
    From 4 July 2020, trading venues and central counterparties (CCPs) offering the trading and clearing of exchange-traded derivatives will be subject to MiFIR’s open access regime.

  4. Key findings on our recent work on pension transfer advice

    Multi-firm reviews Published: 06/12/2018 Last modified: 06/12/2018
    Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we

  5. A changing landscape: the FCA’s strategic priorities for the pensions sector

    Speeches Published: 04/07/2019 Last modified: 04/07/2019
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at Pensions and Benefits UK 2019.

  6. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

    Press Releases Published: 09/04/2019 Last modified: 09/04/2019
    The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML

  7. Occasional Paper 63: HFTs and dealer banks: liquidity and price discovery in FX trading

    Occasional papers Published: 20/01/2023 Last modified: 20/01/2023
    We characterise the liquidity provision and price discovery roles of dealers and high-frequency traders in the foreign exchange spot market.

  8. Prudential (Clone of FCA recognised products and UK registered company)

    Warnings Published: 28/09/2020 Last modified: 21/09/2021
    Prudential (Clone of FCA recognised products and UK registered company) 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

  9. FCA further bolsters its leadership team as it expands its headcount

    Press Releases Published: 05/07/2022 Last modified: 06/07/2022
    The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and

  10. Coronavirus linked forbearance: key findings

    Multi-firm reviews Published: 25/03/2021 Last modified: 15/04/2021
    We set out our findings from our review, where we considered mortgage and consumer credit firms' implementation of Tailored Support Guidance since November 2020 and the operational readiness of firms to support customers in financial difficulty.
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