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Showing 2361 to 2370 of 2441 search results for risk identification.
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FCA calls on firms to act following review of costs and charges disclosure in the investment sector
The Financial Conduct Authority (FCA) has today published the key findings of supervisory work to assess the effectiveness of disclosure by asset managers and intermediaries, such as wealth managers, to their retail customers. This work was prompted -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
This risk was particularly acute on desks where funds traded in the same instruments. ... The conflicts of interest and risks inherent in the side-by-side management of funds require robust risk management systems and controls. -
GC14/1 Annuity Comparison Websites – Thematic Review and Guidance for Firms
All of the websites reviewed raised concerns, however, with key information and risk warnings often missing or insufficiently prominent. -
Debt management firms still failing Britain’s most vulnerable consumers, says FCA
The debt management sector remains one of the UK’s highest risk consumer credit sectors, according to a thematic review published today by the Financial Conduct Authority (FCA). -
FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls
The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with -
Credit Suisse fined £147,190,276 (US$200,664,504) and undertakes to the FCA to forgive US$200 million of Mozambican debt
The Financial Conduct Authority has fined Credit Suisse over £147 million for serious financial crime due diligence failings related to loans worth over US$1.3 billion, which the bank arranged for the Republic of Mozambique. These loans and a bond -
The Financial Conduct Authority publishes review into delivering ‘independent’ financial advice following the implementation of the Retail Distribution Review
the use of model portfolios, which are a collection of funds with a certain asset allocation typically designed to meet a specific risk profile and. -
FCA publishes outcome of testing behavioural remedies to address under repayment of credit card debt
The FCA has published the outcome of a programme of behavioural research. The research looked at different ways repayment options can be presented to credit card customers to encourage those making low repayments to repay more when they can afford -
FCA fines Julius Baer International Limited £18m and publishes decision notices for three individuals
We have fined Julius Baer International Limited £18,022,500 for failing to conduct its business with integrity, failing to take reasonable care to organise and control its affairs and failing to be open and cooperative with the FCA. -
FCA writes joint letter on Brexit with the Bank to CEOs of insurance firms and updates its website for all firms
Our joint letter with the Bank of England to CEOs of insurance firms on the importance of being prepared for the end of the transition period.