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Showing 2011 to 2020 of 2441 search results for risk identification.

  1. Letter to mortgage lenders and administrators managing closed mortgage books [pdf]

    Correspondence Published: 01/05/2020
    In view of the financial challenges facing some mortgage borrowers as a result of coronavirus(Covid 19), we are asking firms with customers who took out mortgages with higher risk characteristics before the financial crisis to review the interest

  2. PS20/15: High-risk investments: Marketing speculative illiquid securities (including speculative mini-bonds) to retail investors

    Policy statements Published: 17/06/2020 Last modified: 10/12/2020
    The FCA has confirmed proposals to permanently ban the mass-marketing of speculative illiquid securities - including speculative mini-bonds - to retail investors

  3. FCA fines Prudential £23,875,000 for failures relating to non-advised annuities sales

    Press Releases Published: 30/09/2019 Last modified: 30/09/2019
    The Financial Conduct Authority (FCA) has fined The Prudential Assurance Company Limited (Prudential) £23,875,000 for failures related to non-advised sales of annuities. 

  4. Former Mortgage Broker Committed to Crown Court for Conducting Unauthorised Business

    Press Releases Published: 02/05/2013 Last modified: 13/05/2013
    On Monday 29 April 2013, Michael Joseph James Lewis of 3 Sedley Close, Rainham, Gillingham, appeared at Medway Magistrates Court in relation to criminal offences brought against him by the Financial Conduct Authority (FCA).

  5. FSA issues fines totalling £4.2m for transaction reporting failures

    Press Releases Published: 08/04/2010 Last modified: 22/07/2013
    The Financial Services Authority (FSA) has fined three firms a total of £4.2m for failing to provide accurate and timely transaction reports to the FSA.

  6. FSA CP13/7: Consumer credit regulation - our proposed regime

    Consultation papers Published: 06/03/2013 Last modified: 15/01/2015
    On 1 April 2014, the regulation of the consumer credit market will be transferred from the Office of Fair Trading (OFT) to the Financial Conduct Authority (FCA). This move was announced by the Government, with the aim of increasing protection for

  7. SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update

    Statements Published: 18/12/2020 Last modified: 18/12/2020
    In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR

  8. FCA warns businesses to stop misleading credit adverts to protect consumers

    Press Releases Published: 06/05/2022 Last modified: 06/05/2022
    The FCA is warning lenders and brokers to stop using misleading terms in their advertising or face regulatory action.

  9. TR18/1: The fair treatment of existing interest-only mortgage customers

    Thematic reviews Published: 30/01/2018 Last modified: 30/01/2018
    This report shares the findings of our thematic review into the fair treatment of existing interest-only mortgage customers by lenders.

  10. PS21/10: Investor protection measures for special purpose acquisition companies: Changes to the Listing Rules

    Policy statements Published: 30/04/2021 Last modified: 05/04/2022
    We set out changes to our Listing Rules that apply to special purpose acquisition companies (SPACs)
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