Search results
Showing 2261 to 2270 of 2441 search results for risk identification.
-
FCA, TPR and MaPS joint statement on Rolls-Royce defined-benefit pensions scheme
We have issued a data request to a number of advisers who have advised on transfers from the Rolls-Royce defined benefit (DB) pension scheme. -
CP23/31: Primary Markets Effectiveness Review: Feedback to CP23/10 and detailed proposals for listing rules reforms
These proposed listing regime reforms aim to encourage a greater range of companies to list and grow on UK markets. -
High Court settlement paves the way for FCA to return money to investors in illegal land bank
The Financial Conduct Authority (FCA) has agreed a settlement of proceedings in the High Court which will enable it to return approximately £380,000 to investors in a land bank. -
Our response to Law Commission recommendations on pension funds and social investment
In June 2017, the Law Commission made recommendations to Government and us on Pension Funds and Social Investment. A final joint response to this has now been published. -
FSA fines Prudential £30 million and censures CEO for failing to inform regulator of 2010 acquisition plans
The Financial Services Authority (FSA) has fined companies in the Prudential Group (Prudential) a total of £30 million for breaching FSA Principles and UKLA Listing Principles. The fines relate to Prudential’s failure to inform the FSA at the -
FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation
The Financial Conduct Authority (FCA) has today published near final rules on the implementation of the Markets in Financial Instruments Directive (MiFID) II. These include changes to the trading of financial instruments including issues affecting -
CP13/15: Enhancing the effectiveness of the Listing Regime: feedback to CP12/25 and further consultation on related issues
We have published a package of measures that will significantly enhance the protections for minority shareholders in premium listed companies where they are at risk of being abused by controlling shareholders. -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
In addition, the firm’s failings placed insurer money at risk of loss. ... Principle 3 requires firms to take reasonable care to organise and control their affairs responsibly and effectively and with adequate risk management systems. -
FCA analysis reveals there are fewer than 1 million interest-only mortgages outstanding
The number of interest-only (750,000) and part-interest-only (245,000) mortgages has halved since 2015, new FCA analysis has found -
What firms and customers can expect from the consumer duty and other regulatory reforms
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at City and Financial Global.