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Showing 1911 to 1920 of 2441 search results for risk identification.

  1. FCA publishes letter of concerns with Morses Club’s current proposed Scheme of Arrangement

    Statements Published: 07/03/2023 Last modified: 13/03/2023
    Morses Club attended court today to seek the views of the court before proceeding to the next stage in the Scheme of Arrangement process. The Financial Conduct Authority (FCA) submitted a letter to the firm and the court ahead of the hearing, as it

  2. FCA reminds consumers financially impacted by coronavirus of the support available

    Press Releases Published: 25/03/2021 Last modified: 25/03/2021
    The FCA has published finalised guidance for firms, to ensure that mortgage customers whose homes may be repossessed are treated fairly and appropriately, particularly where there are risks of harm to customers who are vulnerable, including as a

  3. Reports about sexual and non-financial misconduct made to the FCA

    FOI Release Date of Release: 07/09/0201
    The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA

  4. FCA takes action against unregistered crypto ATM operators in Leeds

    Press Releases Published: 14/02/2023 Last modified: 14/02/2023
    The Financial Conduct Authority (FCA) has used its powers to enter and inspect several sites around Leeds suspected of hosting illegally operated crypto ATMs.

  5. FCA issues Final Notice to former CEO for anti-money laundering failings

    Press Releases Published: 18/11/2022 Last modified: 18/11/2022
    We have publicly censured Mohammad Ataur Rahman Prodhan, the former Chief Executive Officer of Sonali Bank (UK) Limited (SBUK) for anti-money laundering (AML) failings.

  6. FS19/7: Building a regulatory framework for effective stewardship

    Feedback statements Published: 24/10/2019 Last modified: 24/10/2019
    In January 2019, jointly with the Financial Reporting Council (FRC), we published a Discussion Paper, Building a Regulatory Framework for Stewardship (DP 19/1). This Feedback Statement (FS) responds to the views we received, within the scope of our

  7. CP22/24: Broadening access to financial advice for mainstream investments

    Consultation papers Published: 30/11/2022 Last modified: 03/08/2023
    We are aiming to allow firms to provide mass-market consumers with straightforward financial needs greater access to simplified advice on investing into mainstream products

  8. FCA outlines stronger rules to protect consumers from rogue financial promotions

    Press Releases Published: 06/12/2022 Last modified: 06/12/2022
    The FCA has proposed new measures to clamp down on illegal, unfair or misleading financial marketing.

  9. FCA reveals the fourth round of successful firms in its regulatory sandbox

    Press Releases Published: 03/07/2018 Last modified: 11/04/2024
    The FCA has announced the 29 firms that were successful in their applications to begin testing in the fourth cohort of the sandbox.

  10. Tribunal upholds FSA decision to fine firm £8m for market abuse

    Press Releases Published: 28/01/2013 Last modified: 28/01/2015
    The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as
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