Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 2091 to 2100 of 2441 search results for risk identification.

  1. TR14/19 – Wealth management firms and private banks – Conflicts of interest: in-house investment products

    Thematic reviews Published: 24/11/2014 Last modified: 07/02/2022
    Findings of our review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products (IHPs) in retail discretionary and advisory investment portfolios.

  2. Firms continue to fail to meet our expectations on their use of dealing commission

    Multi-firm reviews Published: 03/03/2017 Last modified: 29/11/2021
    We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015.

  3. Exchange of letters and work on multiple-occupancy residential buildings insurance

    News stories Published: 28/01/2022 Last modified: 10/05/2022
    We outline the work we are carrying out in the insurance market for multi-occupancy residential buildings.

  4. Information on investigations relating to Cum-Ex trades and cryptocurrency fraud

    FOI Release Date of Release: 06/06/2022
    The FCA answers multiple questions related to investigations on Cum-Ex trades and cryptocurrency fraud.

  5. TR15/10: Fair treatment for consumers who suffer unauthorised transactions

    Thematic reviews Published: 28/07/2015 Last modified: 28/07/2015
    They also face obstacles when remembering multiple PINs (Personal Identification Numbers) and/or passwords in relation to their account(s), which may lead to them storing or sharing them.

  6. Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness

    Speeches Published: 14/03/2024 Last modified: 14/03/2024
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference.

  7. The FCA’s approach to the authorisation and supervision of Insurance Special Purpose Vehicles

    News stories Published: 23/11/2016 Last modified: 31/01/2017
    The Financial Conduct Authority (FCA) is jointly consulting with the Prudential Regulation Authority (PRA) on the proposed approach to authorisation and supervision of Insurance Special Purpose Vehicles (ISPVs), which will facilitate Insurance

  8. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

    Press Releases Published: 16/08/2013 Last modified: 17/09/2013
    They did not identify the extent to which their firms were involved in promoting the UCIS and they did not detect the risk that the UCIS were routinely being promoted to

  9. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Tribunal upholds FCA decision to fine and ban former hedge fund CEO Alberto Micalizzi

    Press Releases Published: 30/07/2014 Last modified: 30/07/2014
    The Fund was marketed by DDCM as having a low risk, highly liquid, market neutral strategy.
Related topics