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Showing 2081 to 2090 of 2441 search results for risk identification.
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The FCA publishes latest review of sales incentives at retail financial services firms
All the major retail banks have either replaced or made substantial changes to financial incentive schemes, which played such a major role in the mis-selling scandals of recent years, the Financial Conduct Authority (FCA) revealed today. -
CP13/10: Detailed proposals for the FCA regime for consumer credit
These expand on one of our principles, Principle 3, which states that a firm must take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management -
TR14/14 - Redress for payment protection insurance (PPI) mis-sales
We will ensure that firms take fair proactive measures towards groups of customers they have identified as at high risk of mis-sale but who have not complained. -
GC14/7 Proposed guidance on financial crime systems and controls
TR14/16 How small banks manage money laundering and sanctions risk: update. ... TR14/17 Managing bribery and corruption risk in commercial insurance broking: update. -
High Court finds against illegal pension introducers, Avacade and others
Today the High Court ruled in favour of the FCA in a civil action against 2 firms and their directors who provided pension services to consumers without FCA authorisation. -
Advice firms demonstrate some good practice on due diligence but greater consistency needed
To deliver good outcomes for consumers, financial advisers need to undertake research and due diligence to assess the nature of the investments they recommend, their risks and benefits and to understand ... Incorrect risk profiling as outlined in the -
Temporary intervention on the marketing of speculative mini-bonds to retail investors
We are introducing temporary rules to prevent consumer harm, by banning the promotion of high risk speculative mini-bonds to most retail consumers. -
Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures
The target market for the Cliquet Product was described by CSI as "stepping stone customers" who were conservative and risk averse. -
From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit
Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry. -
Cryptoasset firms marketing to UK consumers must get ready for financial promotions regime
All cryptoasset firms marketing to UK consumers, including firms based overseas, will soon need to comply with the new UK financial promotions regime.