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Showing 1941 to 1950 of 2441 search results for risk identification.
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FCA publishes Decision Notice against Jon Frensham for non-financial misconduct
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. -
Senior Managers and Certification Regime Banking Stocktake Report
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. -
FCA taking assertive action to tackle harm in the consumer investments market
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. -
TR16/6: Principals and their appointed representatives in the general insurance sector
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 -
FCA sets out expectations for investment managers on dealing commission
Clients are given easily understood information on the risks and costs of the service, and investment decisions reflect their stated objectives. -
CFRF Guide 2022: Transition net zero - mobilise investment climate solutions [pdf]
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. -
FCA seeks industry views on a new prudential regime for UK investment firms
The FCA has published a discussion paper on a prudential regime for UK investment firms. -
FCA announces decision on cessation of 1- and 6-month synthetic sterling LIBOR at end-March 2023
Publication of 1- and 6-month synthetic sterling LIBOR will be required until end-March 2023, after which these settings will permanently cease. -
Changes to UK EMIR reporting requirements: draft questions and answers
The FCA sought feedback alongside the Bank of England (the Bank) on our draft guidance for reporting under the revised UK EMIR Article 9 reporting requirements. -
The Financial Conduct Authority publishes its findings on transition management
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