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Showing 2041 to 2050 of 2441 search results for risk identification.
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Occasional Paper No. 14: Liquidity in the UK corporate bond market: evidence from trade data
We do not find evidence that liquidity has become more ‘flighty’ in response to shocks of a mild to moderate nature, as measures of liquidity risk do not increase over the ... However, we do not claim that there are no risks associated with liquidity. -
A regulatory perspective: measuring and assessing culture, now and in the future, the role of purpose and the importance of D&I
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the IA Culture in Investment Management Forum -
CP22/11: Winding down ‘synthetic’ sterling LIBOR and US dollar LIBOR
We seek views on winding down the 1, 3 and 6-month synthetic sterling LIBOR settings, and information on market participants’ exposure to US dollar LIBOR. -
Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings
The abuse of the SLS is a novel feature of this case but the underlying conduct and the underlying failings - to identify, mitigate and monitor for obvious risks - are not new. ... The firms failed to identify, manage or control the relevant risks or -
Insurance brokers: serving consumers and businesses in times of uncertainty and change
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference. -
TR15/3: Arrears and Forbearance in High-Cost Short-term Credit
However, we also saw that many firms are making changes to improve, including changing senior management, training staff to deal with struggling customers and improving monitoring, compliance and managing risk. -
November 2014: Internal Audit report: The identification, handling and management of market sensitive information [pdf]
This document was submitted to the Treasury Committee on 01 December 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury -
FCA fines and bans former Deutsche Bank trader, Guillaume Adolph
The Financial Conduct Authority (FCA) has fined Guillaume Adolph £180,000 and banned him from performing any function in relation to any regulated financial activity. -
Financial Conduct Authority consults on restrictions on the retail distribution of regulatory capital instruments
However, while features between issues vary, these instruments can carry risks which many consumers may be unfamiliar with. ... In addition, the dividend is not guaranteed by the mutual society and there is the risk of partial or complete loss of capital -
Temporary intervention on the marketing of speculative mini-bonds to retail investors [pdf]
Measures for 12 months from 1 January 2020 to address risks of consumer harm from the promotion of speculative mini-bonds to retail investors