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Showing 1891 to 1900 of 2441 search results for risk identification.

  1. Five individuals banned and fined for causing losses to pension customers

    Press Releases Published: 09/05/2022 Last modified: 09/05/2022
    The FCA has prohibited five directors of financial advice firms from working in financial services and fined them over £1 million, after they caused significant losses to pension customers.

  2. PS22/10: Strengthening our financial promotion rules for high-risk investments and firms approving financial promotions

    Policy statements Published: 01/08/2022 Last modified: 07/11/2023
    Our final policy and handbook rules for high-risk investments subject to our financial promotion rules and for firms communicating and approving financial promotions.

  3. Information on Appointed representatives sanctions 2019 to 2021- September 2022

    FOI Release Date of Release: 13/09/2022
    The FCA provides information on principle firms sanctioned as a result of misconduct of an appointed representative, 2019 to 2021.

  4. ScamSmart prompts tens of thousands of pension holders to seek information

    Press Releases Published: 04/12/2018 Last modified: 04/12/2018
    The number of people seeking information about pension scams has soared since the launch of the first joint campaign by the Financial Conduct Authority (FCA) and The Pensions Regulator (TPR) this summer.

  5. Findings of multi-firm review into insurers' valuation of vehicles

    Multi-firm reviews Published: 27/03/2024 Last modified: 27/03/2024
    We set out the findings from our review which assesses firms’ claims-handling processes for valuing vehicles which have been stolen or written-off (‘total-loss’ claims).

  6. DP15/7: Our approach to SMEs as users of financial services

    Discussion papers Published: 27/11/2015 Last modified: 25/08/2016
    They can be exposed to risk at the point of purchase due to product complexity, limited choice or poorly managed expectations.

  7. FCA reveals next round of successful firms in its regulatory sandbox

    Press Releases Published: 05/12/2017 Last modified: 06/12/2017
    The Financial Conduct Authority (FCA) today unveils the firms that were successful in their applications to begin testing in the third cohort of the sandbox.

  8. PS21/17: A new UK prudential regime for MiFID investment firms  

    Policy statements Published: 26/11/2021 Last modified: 31/12/2021
    This is the third in a series of policy statements that set out our rules to introduce the Investment Firms Prudential Regime IFPR regime.

  9. FCA sets out its approach to financial promotions in social media

    Press Releases Published: 06/08/2014 Last modified: 06/08/2014
    A way of managing this risk is the use of software that enables advertisers to target particular groups very precisely. ... However, where the financial promotion triggers a risk warning or other information required by our rules this cannot appear

  10. Brexit: information for participants in the wholesale markets operating in the UK (including wholesale banks, wholesale markets and asset managers)

    Firms Published: 26/02/2019 Last modified: 13/03/2024
    Passporting between the UK and EEA states has now ended. Find out more about the other ways in which firms can access the EEA.
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