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Showing 2351 to 2360 of 2441 search results for risk identification.
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FCA bans Simon Hughes for failures in advice given to British Steel Pension Scheme Members
The FCA has banned Simon Hughes of S&M Hughes Limited (in liquidation) from advising customers on pension transfers and pension opt outs, and from holding any senior management function in a regulated firm. -
FCA finds the Covid-19 pandemic leaves over a quarter of UK adults with low financial resilience
The Financial Conduct Authority (FCA) has released its latest Financial Lives survey (FLS), looking at consumers’ financial situations, the financial products they choose and their experiences of engaging with financial services firms. -
PS20/10: Prohibiting the sale to retail clients of investment products that reference cryptoassets
This Policy Statement summarises feedback to CP19/22. It sets out our final policy position and Handbook rules that will come into force on 6 January 2021. -
DP15/6: Possible FCA Handbook changes to reflect the introduction of the Innovative Finance ISA and the regulated activity of advising on peer-to-peer agreements
This information helps them to assess the risks associated with loan-based crowdfunding, understand who will ultimately borrow the money and make informed decisions. -
FCA statement on ESMA’s ongoing work on possible product intervention measures applicable to retail CFD and binary option products
The European Securities and Markets Authority (ESMA) has made an announcement today on its work in relation to the provision of contracts for differences (CFDs), including rolling spot forex, and binary options to retail clients. -
FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative
Mr Macris subsequently asked that daily risk reports for the synthetic credit portfolio be produced and in the following days took other measures, such as requesting assistance from outside CIO and ... arranging daily progress meetings with CIO Risk and -
FG13/4 - Primary Market Bulletin No. 2 and Primary Market Bulletin No. 5
The UKLA Knowledge Base has been updated with the guidance set out in Primary Market Bulletin No. 6. -
FCA review finds evidence of life insurance and advisory firms ‘undermining the objectives of the RDR’ and consults on new guidance
The Financial Conduct Authority (FCA) has published a review to find out whether firms continue to be influenced by inducements from product providers, despite the Retail Distribution Review (RDR) coming into effect in January 2013 -
FCA bans and fines Floris Jakobus Huisamen over London Capital & Finance plc financial promotions
The FCA has fined a former director of London Capital & Finance plc (LCF) £31,800 and banned him from working in financial services. Floris Jakobus Huisamen was responsible for compliance at LCF but recklessly signed off hundreds of financial -
Financial adviser banned and fined £300,000 after clients lost out investing in companies he controlled
What is more, Carron advised the clients to invest without assessing whether the investments were suitable for their needs, and failed to alert them to the possible risks.