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Showing 2401 to 2410 of 2441 search results for risk identification.

  1. FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme

    Press Releases Published: 02/12/2022 Last modified: 02/12/2022
    The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit

  2. Occasional Paper No. 32: Now you see it: drawing attention to charges in the asset management industry

    Occasional papers Published: 05/04/2018 Last modified: 05/04/2018
    As part of the Asset Management Market Study, the FCA wanted to understand the impact of different ways of presenting charges on investors’ decision-making and their understanding and awareness of charges.

  3. Consumer credit countdown – Review into debt collection practices of payday lenders starts on day one of FCA regulation

    Press Releases Published: 12/03/2014 Last modified: 30/09/2016
    Assess the financial promotions of payday and other high cost short term lenders and move quickly to ban any that are misleading and/or downplay the risks of taking out a

  4. GC15/4 Proposed guidance on the FCA’s registration function under the Co-operative and Community Benefit Societies Act 2014

    Guidance consultations Published: 18/06/2015 Last modified: 18/06/2015
    These shares, which are often described as ‘withdrawable shares’ or ‘community shares’ are issued as risk capital.

  5. FCA publishes decision notices against One Call Insurance Services Limited and John Lawrence Radford

    Press Releases Published: 26/01/2018 Last modified: 26/01/2018
    The Financial Conduct Authority has today published Decision Notices in respect of One Call Insurance Services Limited (One Call) and its Chief Executive and majority shareholder John Lawrence Radford.

  6. PS23/3 – Creation of a baseline financial resilience regulatory return: Feedback to CP22/19 and final rules

    Policy statements Published: 02/05/2023 Last modified: 02/05/2023
    We set out the final rules for a new financial resilience regulatory return for solo-regulated firms.

  7. Anti-competitive conduct in the asset management sector: FCA Decisions under the Competition Act 1998

    Decisions and notices Notices and decisions Published: 22/05/2019 Last modified: 22/05/2019
    On 21 February 2019, the FCA decided that 3 asset management firms, Hargreave Hale Ltd, Newton Investment Management Limited and River and Mercantile Asset Management LLP (RAMAM), breached competition law. They shared strategic information during a

  8. High Court finds that 24HR Trading Academy unlawfully advised on investments and unlawfully promoted CFD trading

    Press Releases Published: 25/03/2021 Last modified: 08/04/2024
    The High Court has delivered a summary judgement ruling that 24HR Trading Academy Limited contravened the Financial Services and Markets Act 2000 (FSMA) by providing unauthorised investment advice to consumers via WhatsApp messages.

  9. FS16/1: Feedback Statement on DP15/4 – General insurance value measures

    Feedback statements Published: 01/03/2016 Last modified: 01/03/2016
    We consider the scorecard could give users a wider breadth of information about GI products sold to consumers, while reducing some of the risks and costs associated with the claims ratio.

  10. A third of over 75s targeted by investment scams, as FCA urges consumers to take the time to check

    Press Releases Published: 05/12/2016 Last modified: 05/12/2016
    A fifth (22%) of over 55s and a third (32%) of over 75s believe they have been targeted by an investment scam in the last 3 years Over half (55%) of those who have invested in financial products did so on their own, rather than making the decision
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