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Showing 1901 to 1910 of 2441 search results for risk identification.

  1. Safeguarding arrangements of non-bank payment service providers

    Multi-firm reviews Published: 04/07/2019 Last modified: 04/07/2019
    In the first 6 months of 2019 we carried out a multi-firm review with 11 non-bank payment service providers (PSPs) to assess how well they meet the requirements for safeguarding service users’ funds in the Payment Services Regulations 2017 (PSRs)

  2. A reminder to FCA-regulated firms and issuers after developments in Ukraine

    Press Releases Published: 21/10/2015 Last modified: 22/02/2016
    Firms should be aware of the possible impact these events may have on patterns of financial activity when they assess risks related to particular customers and flows of funds. ... We expect firms to establish and maintain systems and controls to counter

  3. PS21/4: Extension of Annual Financial Crime Reporting Obligation

    Policy statements Published: 30/03/2021 Last modified: 29/03/2022
    This PS summarises our proposal to increase the number of firms who need to submit the annual financial crime report, which we refer to as ‘REP-CRIM’.

  4. Branch and ATM closures or conversions; good practice and areas for improvement

    Data Published: 23/02/2022 Last modified: 25/01/2023
    Find out more about the good and poor practice the FCA has seen when supervising firms planning branch or ATM closures or conversions.

  5. The Financial Conduct Authority places consumer protection at the heart of crowdfunding

    Press Releases Published: 06/03/2014 Last modified: 06/03/2014
    Christopher Woolard, director of policy, risk and research at the FCA, said:. ... The rules on loan-based crowdfunding focus on ensuring that consumers interested in lending to individuals or businesses have access to clear information, which allows them

  6. FCA wins case against Capital Alternatives Limited and others

    Press Releases Published: 26/03/2018 Last modified: 24/11/2021
    The High Court found that Capital Alternatives Limited, Renwick Haddow, Marcia Hargous, Robert McKendrick and others should pay a total of £16.9m in restitution for their roles in four unauthorised collective investment schemes which were

  7. Santander UK fined £12.4m for widespread investment advice failings

    Press Releases Published: 26/03/2014 Last modified: 25/11/2021
    Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank.

  8. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

  9. Supporting consumers through tough times – priorities for credit regulation

    Speeches Published: 23/03/2022 Last modified: 20/03/2024
    Speech by Brian Corr, Interim Director of Retail Lending at the FCA, delivered at Credit Summit 2022

  10. Financial Conduct Authority publishes preliminary findings of review into mobile banking

    Press Releases Published: 27/08/2013 Last modified: 27/08/2013
    Security – the potential risk of consumers receiving malware or a virus when downloading a mobile banking application. ... Technology risk/ interruption to service – the potential risk of a systems failure or an IT problem preventing consumers from
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