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Showing 2021 to 2030 of 2441 search results for risk identification.
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FCA fines Gatehouse Bank £1.5m for poor anti-money laundering checks
The Financial Conduct Authority has fined Gatehouse Bank Plc £1,584,100 for significant weakness in its financial crime systems and controls. -
PS23/13: Introducing a gateway for firms who approve financial promotions
The FCA's final policy position and response to the feedback received to its consultation on introducing a gateway for firms who approve financial promotions. -
CP21/7 A new UK prudential regime for MiFID investment firms
We are consulting on our second phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID). -
Proposed new rules to encourage companies to list in the UK and other market improvements set out by financial watchdog
Proposals aimed at making the UK’s listing regime more accessible, effective, and competitive, have today been set out in detail by the Financial Conduct Authority (FCA). -
Occasional Paper No. 28: Preventing financial distress by predicting unaffordable consumer credit agreements: An applied framework
In this paper, we provide theoretical and practical evidence to help develop more effective affordability rules. -
FCA confirms final rules on improving the quality of pension transfer advice
The FCA has published feedback and final rules and guidance from its consultation on improving the quality of pension transfer advice. -
Greater support for people’s financial decisions, under regulator and government proposals
The FCA and Government are seeking views, as part of the joint Advice Guidance Boundary Review, on three proposals to help people make more informed investment and pensions decisions. -
Authorised fund managers’ assessments of fund value 2023
Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules. -
Applying conduct rules to all non-executive directors in the banking and insurance sectors: PS17/8
This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance -
Occasional Paper No. 35: Six of One…? Choice of intermediary in the UK mortgage market
As part of the FCA's mortgages market study, the FCA wanted to understand whether consumers’ borrowing costs vary materially depending on their choice of intermediary and, if so, why.