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Showing 1941 to 1950 of 2441 search results for risk identification.

  1. FCA publishes Decision Notice against Jon Frensham for non-financial misconduct

    Press Releases Published: 29/03/2021 Last modified: 29/03/2021
    The FCA has published a Decision Notice in respect of Jon Frensham (formerly known as Jonathan James Hunt), an independent financial adviser and the sole director at Frensham Wealth Limited.
  2. Senior Managers and Certification Regime Banking Stocktake Report

    Multi-firm reviews Published: 05/08/2019 Last modified: 05/08/2019
    The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016.
  3. FCA taking assertive action to tackle harm in the consumer investments market

    Press Releases Published: 03/03/2022 Last modified: 13/06/2023
    The FCA is taking assertive action to tackle harm in the consumer investments market, as the latest data shows it has stopped 1 in 4 firms from entering this market.
  4. TR16/6: Principals and their appointed representatives in the general insurance sector

    Thematic reviews Published: 22/07/2016 Last modified: 21/06/2017
    We wanted to understand the impact of these arrangements on customers, and understand whether principals had assessed the risks associated with using appointed representatives and had put in place robust systems ... Over half of the 15 principal firms in
  5. FCA sets out expectations for investment managers on dealing commission

    Press Releases Published: 08/05/2014 Last modified: 08/05/2014
    Clients are given easily understood information on the risks and costs of the service, and investment decisions reflect their stated objectives.
  6. CFRF Guide 2022: Transition net zero - mobilise investment climate solutions [pdf]

    Corporate documents Published: 12/12/2022
    This chapter from the Climate Financial Risk Forum (CFRF) represents output from the Transition Net Zero Working Group of the Climate Financial Risk Forum (CFRF). The outputs relate to industry investment and climate solutions.
  7. FCA seeks industry views on a new prudential regime for UK investment firms

    Press Releases Published: 23/06/2020 Last modified: 11/04/2024
    The FCA has published a discussion paper on a prudential regime for UK investment firms.
  8. FCA announces decision on cessation of 1- and 6-month synthetic sterling LIBOR at end-March 2023

    Statements Published: 29/09/2022 Last modified: 29/09/2022
    Publication of 1- and 6-month synthetic sterling LIBOR will be required until end-March 2023, after which these settings will permanently cease.
  9. Changes to UK EMIR reporting requirements: draft questions and answers

    Consultation papers Published: 01/03/2024 Last modified: 13/06/2024
    The FCA sought feedback alongside the Bank of England (the Bank) on our draft guidance for reporting under the revised UK EMIR Article 9 reporting requirements.
  10. The Financial Conduct Authority publishes its findings on transition management

    Press Releases Published: 10/02/2014 Last modified: 07/02/2022
    Over £165 billion of assets invested in pensions and other large funds are transferred between investment managers, markets and products every year – potentially affecting the returns enjoyed by millions of consumers on their investments – by