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Showing 2201 to 2210 of 2441 search results for risk identification.

  1. FCA fines GAM International Management and former Investment Director Timothy Haywood

    Press Releases Published: 30/03/2022 Last modified: 30/03/2022
    The Financial Conduct Authority (FCA) has fined asset manager GAM International Management Limited (GIML) and Timothy Haywood, a former Investment Director and Business Unit Head at GIML.

  2. FCA reminds asset managers of importance of meeting investors’ expectations

    Press Releases Published: 07/04/2016 Last modified: 07/04/2016
    Fund management firms that did not effectively manage risks that could lead to poor customer outcomes will be required to make improvements to their practices.

  3. FCA publicly censures Horn Express Ltd (formerly known as Qaran Express Money Transfer Limited) for breaches of the Payment Services Regulations

    Press Releases Published: 30/04/2013 Last modified: 13/05/2013
    The Financial Conduct Authority (FCA) has publicly censured Horn Express Limited (formerly known as Qaran Express Money Transfer Limited, “QEMTL”) for failing to safeguard and segregate customer funds. The FCA would have fined QEMTL £136,687

  4. The Financial Conduct Authority consults on guidance to clarify the boundary between different investment advice models

    Press Releases Published: 11/07/2014 Last modified: 11/07/2014
    Christopher Woolard, director of policy, risk and research at the FCA, said:.

  5. GC14/3 Retail Investment Advice: Clarifying the boundaries and exploring the barriers to market development

    Guidance consultations Published: 11/07/2014 Last modified: 11/07/2014
    Gary Brown. Advice and Distribution team. Policy, Risk and Research Division.

  6. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

    News stories Published: 28/04/2014 Last modified: 28/04/2014
    in relation to the switch or transfer as a whole (including the characteristics and risk of the wrapper and of the underlying investments). ... These models were clearly adopted in an attempt to avoid compliance with suitability requirements, while

  7. FSA confirms approach to using temporary product intervention rules that will be used by the FCA

    Press Releases Published: 25/03/2013 Last modified: 31/03/2013
    The Financial Services Authority (FSA) has confirmed its approach to temporary product intervention. This sets out the process for the Financial Conduct Authority (FCA) when it makes emergency rules to protect consumers.

  8. FG14/5 - Examples of good and poor practice in ‘Banks’ control of financial crime risks in trade finance

    Finalised guidance Published: 11/06/2014 Last modified: 12/01/2023
    In July 2013, we consulted on examples of good and poor practice in ‘Banks’ control of financial crime risks in trade finance’. We proposed to include these examples in Financial crime: a guide for firms, our regulatory guidance, which sets

  9. Occasional paper No.40: Time to act: A field experiment on overdraft alerts

    Occasional papers Published: 24/07/2018 Last modified: 24/07/2018
    As part of the high-cost credit review, the FCA wanted to understand the impact of automatically enrolling customers into just-in-time arranged overdraft alerts and early warning alerts for overdrafts and unpaid items.

  10. FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice

    Press Releases Published: 20/05/2015 Last modified: 22/05/2015
    In some cases, Mr Reynolds’ clients were unaware that they had invested in unregulated investments and were not told of the associated risks. ... Suitability letters found on the clients’ files, which did explain the risks, had not been sent to the
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