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Showing 1951 to 1960 of 2441 search results for risk identification.

  1. TR14/11 - Price comparison websites in the general insurance sector

    Thematic reviews Published: 16/07/2014 Last modified: 31/08/2016
    By failing to provide clear information, the websites are increasing the risk that consumers may buy products without understanding key features such as level of cover or excess levels and purely

  2. FG15/7 - Guidance on financial crime systems and controls

    Finalised guidance Published: 27/04/2015 Last modified: 30/08/2015
    All respondents thought that our examples of good practice were useful to help illustrate what some firms have done to identify, assess and manage financial crime risk.

  3. FCA warns Buy Now Pay Later firms about misleading adverts

    Press Releases Published: 19/08/2022 Last modified: 19/08/2022
    Although some agreements are unregulated the financial promotions of all BNPL products must comply with the rules.

  4. FCA confirms new rules to improve oversight of Appointed Representatives

    Press Releases Published: 03/08/2022 Last modified: 03/08/2022
    Our new rules to make authorised financial firms more responsible for their appointed representatives (ARs). 

  5. FCA Statement of Policy on the use of the power to direct qualifying parent undertakings

    News stories Published: 24/04/2013 Last modified: 24/04/2013
    The appendix to FSA PS13/5 - The New FCA Handbook sets out the Financial Conduct Authority’s policy on the use of its power to direct a qualifying parent undertaking (also known as an ‘unregulated holding company’). The powers relate to all FCA

  6. FCA steps up efforts to ensure firms are getting ready for a no-deal Brexit

    Press Releases Published: 11/09/2019 Last modified: 06/10/2020
    We are stepping up our efforts to ensure firms are aware of what they need to do to prepare for the potential of a no-deal Brexit.

  7. Application under MIFID 4-12-66r additional firm questions [docx]

    Forms Published: 11/02/2022
    Application under MIFIDPRU 4.12.66R for permission to use sensitivity models to calculate interest rate risk on derivative instruments in accordance with article 331(1) of the UK CRR – Additional firm questions

  8. FCA prohibits and fines Omar Hussein for pension switching advice failings

    Press Releases Published: 15/10/2021 Last modified: 15/10/2021
    The FCA has fined Omar Hussein for providing reckless and unsuitable pension switching advice. Mr Hussein has been fined £116,000.

  9. Financial Lives 2022 survey - Key findings from the May 2022 survey: Executive summary

    Financial Lives Published: 26/07/2023 Last modified: 26/07/2023
    Executive summary for the key findings from the FCA’s Financial Lives February 2022 survey.

  10. Latest FCA perimeter report calls for legislative change to protect consumers

    Press Releases Published: 21/10/2021 Last modified: 21/10/2021
    In the 2020/21 Perimeter Report, the FCA has called for legislative change to address concerns beyond its remit.
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