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Showing 2211 to 2220 of 2441 search results for risk identification.

  1. Half a million consumers paying less credit card interest following FCA intervention

    Press Releases Published: 19/07/2022 Last modified: 19/07/2022
    Nearly 600,000 people are now paying less in interest and charges on their credit card debt because of changes made by the FCA.

  2. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  3. Lloyds Banking Group fined £4.3 million for delayed PPI redress payments

    Press Releases Published: 19/02/2013 Last modified: 09/12/2016
    The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress.

  4. Clarifying our supervisory intentions: overall responsibility for the legal function under the Senior Managers Regime

    Statements Published: 27/01/2016 Last modified: 26/05/2016
    It has come to our attention that there is uncertainty as to whether an individual in charge of a firm’s legal function requires approval under our Senior Managers regime. This statement:describes our plans to consult on this area; and makes clear

  5. The Financial Conduct Authority and the Dutch Authority for the Financial Markets (AFM) agree on closer partnership

    Press Releases Published: 05/06/2019 Last modified: 05/06/2019
    UK and Dutch financial regulators agreed to work more closely together to protect and enhance the integrity and stability of both countries financial systems.

  6. FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings

    Press Releases Published: 22/06/2022 Last modified: 22/06/2022
    We have fined JLT Specialty Limited (JLTSL) £7,881,700 for financial crime control failings.

  7. Joint Regulatory Oversight Committee sets out next steps to help UK open banking grow

    News stories Published: 06/06/2023 Last modified: 06/06/2023
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  8. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence

  9. ETF primary market participation and liquidity resilience during stress events

    Research notes Published: 07/08/2019 Last modified: 07/08/2019
    This FCA report sets out actions and recommendations to improve the availability and awareness of alternatives to high-cost credit.

  10. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

    Thematic reviews Published: 21/07/2016 Last modified: 15/11/2016
    We have surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest by dark pool ... We examined the promotion undertaken by
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