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

Search results

Showing 2181 to 2190 of 2441 search results for risk identification.

  1. The FCA’s approach to supervising wealth management and private banking firms

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. PS21/23: Enhancing climate-related disclosures by standard listed companies

    Policy statements Published: 17/12/2021 Last modified: 17/12/2021
    We are extending the application of our climate-related disclosure requirements to issuers of standard listed shares and Global Depositary Receipts representing equity shares.

  3. Joint statement from FCA, PRA and Bank of England on the government’s proposed amendments to the CCP run-off regime

    Statements Published: 26/05/2023 Last modified: 26/05/2023
    FCA and PRA are responsible for the supervision of regulated banks to which certain central counterparties (CCPs) provide services. The Bank of England is responsible for the supervision of CCPs in the UK.

  4. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

    Press Releases Published: 25/09/2013 Last modified: 04/11/2014
    IEL's risk management systems and controls were inadequate to monitor and oversee the relevant broking activity.

  5. FSA secures High Court victory against illegal land banking firm, Asset Land

    Press Releases Published: 11/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has won a key victory in the battle against unauthorised businesses after the High Court declared that David Banner-Eve, Stuart Cohen, Asset Land Investments Plc and Asset L.I. Inc. ran an illegal land bank by

  6. FCA fines guarantor lender TFS Loans Ltd (in administration) and requires it to provide redress to affected guarantors

    Press Releases Published: 10/06/2022 Last modified: 10/06/2022
    We have fined TFS Loans Ltd (in administration) £811,900 in relation to deficient affordability checks on 3,150 guarantors in its consumer credit business.

  7. FCA proposes additional measures to help insurance customers in financial difficulty

    Statements Published: 16/10/2020 Last modified: 21/10/2020
    The FCA has published proposals on how firms should continue to seek to help customers who hold insurance and premium finance products and may be in financial difficulty because of coronavirus (Covid-19), after 31 October 2020.

  8. FSA publishes guidance to help firms avoid poorly managed incentive schemes that drive mis-selling

    Press Releases Published: 16/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published final guidance that will help financial firms avoid creating and operating incentives schemes that drive mis-selling.

  9. FCA proposes the next stage of support for consumer credit and overdraft customers

    Press Releases Published: 16/09/2020 Last modified: 16/09/2020
    The Financial Conduct Authority (FCA) has announced proposals to ensure that firms provide tailored support for users of consumer credit and overdraft products who continue to face payment difficulties due to coronavirus (Covid-19).

  10. FCA publishes Decision Notice against Paul Reynolds deciding to ban him and fine him £290,344

    Press Releases Published: 23/10/2014 Last modified: 23/10/2014
    The Financial Conduct Authority (FCA) has today published a Decision Notice against Paul Reynolds (formerly known as Paul Brian Reynolds).
Related topics