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Showing 2301 to 2310 of 2441 search results for risk identification.

  1. Regulatory and consumer bodies welcome review of pension scheme communications provided to steel workers

    Statements Published: 22/01/2019 Last modified: 22/01/2019
    The Financial Conduct Authority (FCA), The Pensions Regulator (TPR) and The Single Financial Guidance Body (SFGB) today welcomed an independent review by Caroline Rookes into communications and support provided to British Steel Pension Scheme (BSPS)

  2. Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money

    Press Releases Published: 03/09/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Aberdeen Asset Managers Limited and Aberdeen Fund Management Limited (Aberdeen) £7,192,500 for failing to identify, and therefore properly protect, client money placed in Money Market Deposits (MMDs)

  3. FCA finds annuity market not working for consumers - Competition Market Study launched

    Press Releases Published: 14/02/2014 Last modified: 07/07/2017
    The FCA believes there is a risk that providers may unfairly try to retain existing customers to maximise profits, so it will explore this in greater details in the next market

  4. FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules

    Press Releases Published: 15/04/2015 Last modified: 15/04/2015
    Had the Firms become insolvent, the total value of safe custody assets at risk would have been significant. ... The changes aim to improve firms’ systems and controls around segregation, record keeping and reconciliations and set out how investment

  5. CP16/5: Handbook changes to reflect the introduction of the Innovative Finance ISA and the regulated activity of advising on peer-to-peer agreements

    Consultation papers Published: 02/02/2016 Last modified: 04/04/2016
    This information helps them to assess the risks associated with loan-based crowdfunding, understand who will ultimately borrow the money and make informed decisions.

  6. PS21/24: Enhancing climate-related disclosures by asset managers, life insurers and FCA-regulated pension providers

    Policy statements Published: 17/12/2021 Last modified: 17/12/2021
    We are introducing a new Environmental, Social and Governance sourcebook.

  7. FS20/10: Coronavirus and safeguarding customers’ funds: guidance for payment and e-money firms

    Policy and guidance Feedback statements Published: 09/07/2020 Last modified: 09/07/2020
    We summarise the feedback to our proposed temporary guidance on payment firms’ prudential risk management and safeguarding arrangements for customers’ funds, in light of coronavirus.

  8. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

    Speeches Published: 12/05/2014 Last modified: 13/05/2014
    Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

  9. Portfolio Strategy Letter to firms in the Personal & Commercial Lines Insurer (PL&CL) portfolio: identifying and remedying harms [pdf]

    Correspondence Published: 08/01/2020
    Our view of the key risks of harm for firms writing personal, commercial and multi-lines insurance; and our expectations of firms in mitigating them.

  10. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

    Press Releases Published: 09/08/2017 Last modified: 09/08/2017
    On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 
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