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Showing 2371 to 2380 of 2441 search results for risk identification.

  1. PS23/1: Extended asset retention requirement for firms under the British Steel Pension Scheme consumer redress scheme

    Policy and guidance Policy statements Published: 28/11/2022 Last modified: 27/01/2023
    Final rules to extend asset retention rules for certain firms who provided transfer advice to BSPS members. We also summarise feedback to CP22/22.

  2. FCA consults on proposed decision to require synthetic LIBOR for 6 sterling and Japanese yen settings

    Statements Published: 24/06/2021 Last modified: 24/06/2021
    FCA consults on proposed decision to require synthetic LIBOR for 6 sterling and Japanese yen settings.

  3. FCA bans and issues largest ever fine of nearly £1 million on a retail sole trader for deliberately misleading vulnerable customers for personal gain

    Press Releases Published: 19/06/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined sale and rent back arranger Gurpreet Singh Chadda £945,277 and banned him from working in the financial services industry for significant failings when conducting sale and rent back agreements. This

  4. FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls

    Press Releases Published: 09/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010.

  5. Guinness Mahon Trust Corporation Limited in administration and SIPP business immediately sold to Hartley Pensions

    News stories Published: 18/02/2020 Last modified: 21/02/2020
    On 17 February 2020, and following complaints in relation to historic high-risk non-standard investments, the directors of Guinness Mahon Trust Corporation Limited (GMTC), a firm authorised and regulated by the FCA, appointed Adam Stephens and Nick

  6. GC13/1 Proposed guidance on oversight of member controls carried out by recognised investment exchanges (RIEs) and multi-lateral trading facilities (MTFs)

    Guidance consultations Published: 23/04/2013 Last modified: 23/04/2013
    Firms approach should be risk based and targeted at key members.

  7. FCA bans Paul Steel for unsuitable defined benefit transfer advice with £850k to be paid in redress

    Press Releases Published: 04/07/2023 Last modified: 04/07/2023
    The FCA has banned Paul Steel of Estate Matters Financial Ltd (EMF) from working in financial services. 

  8. FS23/4: Potential competition impacts of Big Tech entry and expansion in retail financial services 

    Feedback statements Published: 12/07/2023 Last modified: 12/07/2023
    We are asking for views on the potential benefits and harms from Big Tech firms’ entry and expansion into retail financial services sectors

  9. FCA review finds weaknesses in some ‘host’ Authorised Fund Management firms’ governance and operations

    Press Releases Published: 30/06/2021 Last modified: 30/06/2021
    The Financial Conduct Authority (FCA) has called for so-called ‘host’ Authorised Fund Managers (AFMs) to improve their standards following a review of firms published today.

  10. GC15/5: Ring-fencing: Guidance on the FCA’s approach to the implementation of ring-fencing and ring-fencing transfer schemes

    Guidance consultations Published: 18/09/2015 Last modified: 18/09/2015
    We will need to assess the potential risks posed by the implementation of ring-fencing to our objectives. ... In addition, the PRA will consult us in relation to RFTSs (transfers of business to achieve ring-fencing purposes) and we will need to assess
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