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Showing 1931 to 1940 of 2441 search results for risk identification.

  1. PS23/5: Debt Packagers: Feedback to CP23/5 and final rules

    Policy and guidance Policy statements Published: 02/06/2023 Last modified: 02/06/2023
    We set out our new rules banning debt packagers from receiving referral fees and summarise feedback to CP23/5 and our response.

  2. Portfolio letter: FCA strategy for the Retail Mortgage Lenders (RMLs) portfolio [pdf]

    Correspondence Published: 11/03/2022
    Portfolio letter sent out to firms to set out our view of risks of harm and expectations from firms.

  3. PS13/3 Restrictions on the retail distribution of unregulated collective investment schemes and close substitutes

    Policy statements Published: 04/06/2013 Last modified: 30/08/2015
    We are setting out our rules on unregulated collective investment schemes and close substitutes in relation to ordinary retail investors in the UK.

  4. CFRF Guide 2022: Disclosure, Data and Metrics – Frameworks and Metrics in Relation to Green & Transition Finance [pdf]

    Corporate documents Published: 12/12/2022
    This chapter from the Climate Financial Risk Forum (CFRF) represents output from the Disclosure, Data and Metrics Working Group. The outputs relate to industry frameworks and metrics in relation to green transition within finance sector.

  5. Financial Conduct Authority says time to end premium calls for consumers

    Press Releases Published: 14/04/2014 Last modified: 15/04/2014
    affordable. Christopher Woolard, the FCA’s director of policy, risk and research said:.

  6. FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures

    Press Releases Published: 20/11/2014 Last modified: 20/11/2014
    The FCA has taken this action against the Banks for failing to put in place resilient IT systems which could withstand, or minimise the risk of, IT failures. ... The FCA found that Banks’ did not have adequate systems and controls to identify and

  7. FCA warns firms and finfluencers to keep their social media ads lawful

    Press Releases Published: 26/03/2024 Last modified: 26/03/2024
    Guidance for memes, reels and gaming streams promoting financial services has been published by the FCA today.

  8. Statement on transitional arrangements for trading venues under MiFIR Article 54(2)

    Statements Published: 03/01/2018 Last modified: 03/01/2018
    Having taken into account the risks resulting from the application of the access rights under Article 36 as regards exchange-traded derivatives to the orderly functioning of the trading venues referred

  9. FCA drives changes to Buy Now, Pay Later (BNPL) firms’ contract terms

    Statements Published: 14/02/2022 Last modified: 14/02/2022
    This statement summarises the changes made by four BNPL firms to their contract terms and contains guidance for firms in this sector more generally.

  10. Using artificial intelligence to keep criminal funds out of the financial system

    Speeches Published: 06/12/2017 Last modified: 06/12/2017
    Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, delivered to the FinTech Innovation in AML and Digital ID regional event, London.
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