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Showing 2331 to 2340 of 2441 search results for risk identification.

  1. Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association

    Speeches Published: 25/02/2019 Last modified: 25/02/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, on the Markets in Financial Instruments Directive (MiFID II) at the European Independent Research Providers Association.

  2. FCA and Bank of England encourage switch from LIBOR to SONIA for sterling interest rate swaps from Spring 2020

    Statements Published: 16/01/2020 Last modified: 16/01/2020
    The FCA and the Bank of England encourage market makers to change the market convention for sterling interest rate swaps from LIBOR to SONIA (the Sterling Overnight Index Average) in Q1 2020. This change is intended to move the greater part of new

  3. FCA: New strategic approach to ensure “sharper focus” to regulatory challenges ahead

    Press Releases Published: 08/12/2014 Last modified: 08/12/2014
    A new Risk Division to provide a strategic approach to the management of internal and external risk.

  4. FG18/5: Guidance on financial crime systems and controls: insider dealing and market manipulation

    Finalised guidance Published: 27/03/2018 Last modified: 13/12/2018
    We are consulting on changes to the Financial Crime Guide for firms, proposing to add a chapter on insider dealing and market manipulation and make miscellaneous changes as a result of recent regulatory changes to ensure the guide remains up to date.

  5. Occasional Paper No. 16: Are high-frequency traders anticipating the order flow? Cross-venue evidence from the UK market

    Occasional papers Published: 15/04/2016 Last modified: 02/09/2016
    These claims infer that HFTs can make profits without taking risks due to their latency advantages.

  6. Upper Tribunal publishes decision on Linear Investments Limited in relation to penalty imposed by FCA

    Press Releases Published: 10/04/2019 Last modified: 10/04/2019
    The Upper Tribunal has published its decision on the reference made by Linear Investments Limited (Linear) in relation to the penalty imposed by the Financial Conduct Authority (FCA).

  7. PS22/16: Margin requirements for non-centrally cleared derivatives: Amendments to BTS 2016/2251

    Policy statements Published: 15/12/2022 Last modified: 15/12/2022
    This PRA and FCA policy statement provides feedback to responses to FCA CP22/13. It also contains the PRA’s and FCA’s final policy,

  8. PS23/2: Changes to reporting requirements, procedures for data quality and registration of Trade Repositories under UK EMIR

    Policy statements Published: 24/02/2023 Last modified: 28/02/2023
    We have launched a joint consultation with the Bank of England on changes to reporting requirements, procedures for data quality and registration of Trade Repositories under UK EMIR.

  9. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    Deutsche Bank did not have any systems and controls specific to IBOR and did not put them in place even after being put on notice that there was a risk of ... The FCA is reviewing how effectively firms are implementing the new rules on LIBOR and is also

  10. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

    Press Releases Published: 21/07/2011 Last modified: 24/11/2021
    The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.
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