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Showing 2031 to 2040 of 2441 search results for risk identification.

  1. Information on investigations opened under the Senior Managers' Regime - June 2022

    FOI Release Date of Release: 22/06/2022
    The FCA provides information on investigations opened under the Senior Managers' Regime.

  2. FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings

    Press Releases Published: 30/05/2019 Last modified: 30/05/2019
    The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. 

  3. FS23/1 - Feedback Statement on Synthetic Data Call for Input

    Feedback statements Published: 30/03/2022 Last modified: 09/02/2023
    We asked for your input on the challenges in accessing high quality data for innovation in financial services, including specific feedback on synthetic data.

  4. FSA and OFT publish guidance to firms designing new payment protection products

    Press Releases Published: 24/01/2013 Last modified: 10/04/2013
    The Financial Services Authority (FSA) and the Office of Fair Trading (OFT) have jointly published final guidance to help prevent the problems associated with Payment Protection Insurance (PPI) recurring in a new generation of products.

  5. Briefing on the FCA’s consultation on its reward offer and trade union recognition

    Last modified: 17/11/2021
    On 22 September, we began consulting with colleagues on our future reward offer. The offer ensures the FCA continues to provide one of the best employment packages of any regulator or enforcement agency in the UK.

  6. FCA bans Lee Morgan for British Steel Pension Scheme advice failings

    Press Releases Published: 28/06/2023 Last modified: 28/06/2023
    The FCA has banned Denis Lee Morgan of Pembrokeshire Mortgage Centre Limited (in liquidation) (PMC) from advising any customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. 

  7. PS18/7: Staff incentives, remuneration and performance management in consumer credit firms

    Policy statements Published: 27/03/2018 Last modified: 27/03/2018
    This FCA Policy Statement responds to feedback arising from CP17/20 and it sets final rules for staff incentives, remuneration and performance management in consumer credit firms.

  8. FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors

    Press Releases Published: 12/12/2022 Last modified: 12/12/2022
    Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.

  9. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    The Tribunal found there would be a risk to investors if Mr Rosier was permitted to perform a significant influence function.

  10. Firms should strengthen anti-fraud systems and must treat victims of fraud better, review finds

    News stories Published: 07/11/2023 Last modified: 07/11/2023
    We are working with payment service providers to do more to protect consumers from fraud, including authorised push payment (APP) fraud
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