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Showing 2111 to 2120 of 2441 search results for risk identification.

  1. FCA statement on ESMA’s temporary product intervention measures applied to retail CFD and binary option products

    Statements Published: 27/03/2018 Last modified: 27/03/2018
    The European Securities and Markets Authority (ESMA) has agreed a range of product intervention measures to prohibit the provision of binary options and to restrict the provision of Contracts for Difference (CFDs) in order to protect retail investors

  2. CP15/6: Consumer credit - proposed changes to our rules and guidance

    Consultation papers Published: 24/02/2015 Last modified: 30/08/2015
    This paper outlines our proposed policy changes to our consumer credit regime.

  3. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

    Press Releases Published: 13/07/2023 Last modified: 13/07/2023
    The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

  4. Final Notice 2022: The TJM Partnership Limited (Formerly known as Neovision Global Capital Limited) (In Liquidation) [pdf]

    Final notices Published: 15/07/2022
    This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty.

  5. Defined contribution workplace pensions: The audit of charges and benefits in legacy schemes

    Press Releases Published: 17/12/2014 Last modified: 17/12/2014
    The IPB was asked to look at legacy schemes at risk of being exposed to charges over an equivalent of one percent annual management charge (AMC) and to recommend what actions ... The audit delivers comprehensive data and analysis in a form which will

  6. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

    Press Releases Published: 05/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).

  7. TR13/1 - Motor Legal Expenses Insurance (MLEI) thematic project

    Thematic reviews Published: 07/06/2013 Last modified: 16/08/2013
    We undertake thematic projects to assess current and future risks in relation to a particular issue or product. This may be across a number of firms, within a specific part of the sector, or at market level.

  8. FCA asks for proposals on how open finance could transform financial services

    Press Releases Published: 17/12/2019 Last modified: 11/04/2024
    The Bank of England, PRA and FCA have published coordinated consultation papers on new requirements to strengthen operational resilience in financial services.

  9. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

    Press Releases Published: 22/09/2015 Last modified: 22/09/2015
    Director of Supervision – Retail and Authorisations: Jonathan Davidson. Director of Risk and Compliance Oversight: Barbara Frohn.

  10. FS21/12: Decisions on the use of LIBOR (Articles 23C and 21A BMR)

    Feedback statements Published: 29/09/2021 Last modified: 10/12/2021
    Feedback on responses to our proposal to use our Article 23C and Article 21A powers under the Benchmarks Regulation for certain LIBOR settings.
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