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Showing 1961 to 1970 of 2441 search results for risk identification.
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Case study: Innovation can benefit us all
Case study of Amplified Global, a start-up which has worked with all 3 of the FCA's main innovation services. -
PS14/9: Review of the client assets regime for investment business
In our consultation paper CP13/5: Review of the client assets regime for investment business we proposed changes to the rules in CASS to address specific risks, to clarify the requirements -
TR13/9 - Anti-Money Laundering and Anti-Bribery and Corruption Systems and Controls: Asset Management and Platform Firms
Firms must establish and maintain robust defences and risk management frameworks that identify and mitigate money laundering and bribery and corruption risks. ... Although we found some good examples of risk management – for instance, most firms had -
FCA bans and censures managing director of SIPP operator Montpelier Pension Administration Services Limited
The FCA has banned Kevin Wells, the managing director of Montpelier Pension Administration Services Limited (MPAS), from performing any significant influence function at any regulated firm, and also censured him. -
FG24/1: Finalised guidance on financial promotions on social media
We clarify our expectations on how financial promotions are communicated on social media. We also summarise and respond to feedback to GC23/2. -
FCA acts to address unclear and excessive motor finance costs
FCA looking at the motor finance market to ensure it works well and to assess whether consumers are at risk of harm -
Update on mortgages, consumer credit, banking and payments during coronavirus
We are publishing an update on issues relating to mortgages, consumer credit, banking and payments during coronavirus. This confirms our finalised guidance on repossessions for mortgages and consumer credit, as well as the FCA’s intention to -
Defined Benefit (DB) transfers – further update on our work
We set out further findings from our assessment of the suitability of defined benefit (DB) transfer advice, as part of a package of measures to improve standards in this area. -
FCA consults on aspects of the Markets in Financial Instruments Directive II implementation
MiFID was originally introduced in 2007 and the revised regime aims to strengthen investor protection, increase market resilience, reduce systemic risks and increase the overall efficiency and transparency of financial markets. -
The importance of culture in driving behaviours of firms and how the FCA will assess this
Speech by Clive Adamson, Director of Supervision, the FCA, at the CFA Society - UK Professionalism Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.