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Showing 2121 to 2130 of 2441 search results for risk identification.

  1. Regulating the pensions and retirement income sector: our strategic approach

    Corporate documents Published: 19/03/2018 Last modified: 18/10/2018
    We work with The Pensions Regulator (TPR) to address risks and harms in the pensions and retirement income sector and help ensure the best possible outcomes for consumers.

  2. FCA publishes the findings of its work into annuities sales practices and retirement income market

    Press Releases Published: 11/12/2014 Last modified: 11/12/2014
    However, FCA analysis suggests that for people with average-sized pension pots and low risk appetite, the right annuity purchased on the open market offers good value for money relative to ... The FCA has identified future risks and has set out what they

  3. Improper delegation of authorised activities - a notice for financial adviser firms and their advisers

    Multi-firm reviews Published: 30/11/2015 Last modified: 18/05/2017
    Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of

  4. Building better bridges: a world-leading investment industry around outcomes customers need

    Speeches Published: 11/10/2019 Last modified: 11/10/2019
    Speech by Charles Randell, FCA chair, at the Investment Association on working to build a world-leading investment industry around customers’ outcomes

  5. PS23/15: Remuneration: Ratio between fixed and variable components of total remuneration

    Policy statements Published: 19/12/2022 Last modified: 24/10/2023
    We set out joint rule changes with the Prudential Regulation Authority (PRA) to remove the existing limits on the ratio between fixed and variable components of total remuneration (‘the bonus cap’).

  6. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  7. PS15/14: Restrictions on the retail distribution of regulatory capital instruments

    Policy statements Published: 12/06/2015 Last modified: 12/06/2015
    In this paper we set out the rules we are implementing following our consultation on restrictions on the retail distribution of regulatory capital instruments (contingent convertible securities (CoCos) and mutual society shares).

  8. Non-advised drawdown pension sales review: summary of findings

    Multi-firm reviews Published: 28/03/2018 Last modified: 28/03/2018
    The FCA presents a summary of its findings from its assessment on whether firms are providing necessary information in a way that helps customers make informed decisions when accessing retirement benefits.

  9. PS21/20: Changes to UK MiFID’s conduct and organisational requirements

    Policy statements Published: 30/11/2021 Last modified: 30/11/2021
    We set out our final policy position and rules on changes to the research rules and removal of best execution reporting in RTS 27 and RTS 28 following feedback to CP21/9.

  10. FCA statement on onshoring ESMA’s temporary intervention measures on retail CFD and binary options products

    Statements Published: 22/02/2019 Last modified: 22/02/2019
    The European Securities and Markets Authority’s (ESMA) temporary intervention measures prohibiting binary options and restricting contract for difference products (CFDs) sold to retail clients will become part of UK domestic law on exit day as
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