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Showing 281 to 290 of 2441 search results for risk identification.

  1. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    the risk of any adverse impact the incentives may have on staff behaviour. ... Long-term business sustainability depends on an open, transparent and flexible risk-responsive culture.

  2. FCA Risk Outlook 2014: Seven forward-looking areas of focus [pdf]

    Corporate documents Published: 31/03/2014 Last modified: 12/09/2014

  3. The defining challenge of our time

    Speeches Published: 11/03/2015 Last modified: 20/03/2015
    Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the NAPF Investment Conference, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Client Money and Assets

    Tasks for regulated firms Published: 11/05/2015 Last modified: 10/02/2023
    CASS compliance is needed if you control client money. Learn more about CASS rules, when and how to classify your CASS firm and what to submit for your monthly CMAR report.

  5. Coronavirus (Covid-19): Information for firms

    Firms Focus areas Published: 17/03/2020 Last modified: 29/07/2022
    Our expectations for firms during the coronavirus pandemic, and the measures we’ve put in place to make sure customers are protected.

  6. Digital publishing form

    Last modified: 09/01/2018
    By submitting documents using this form, you are confirmingthat the content is suitable and appropriate to publish, does not put the FCAat reputationalor legal risk, and has been approved in writing

  7. Delegation arrangements changes

    Firms Published: 08/06/2016 Last modified: 30/01/2023
    Find out about notifying us of changes to AIFMD delegation and sub-delegation arrangements.

  8. Change in Control

    Tasks for firms Published: 01/08/2015 Last modified: 23/02/2024
    Find out when you need to notify us to acquire or change control in a firm that we regulate.

  9. FCA Risk Outlook 2013 [pdf]

    Business plans Published: 25/03/2013 Last modified: 18/06/2013
    The Financial Conduct Authority (FCA) will put consumers’ needs at its heart and will focus even more on ensuring there is a fair deal between firms and their customers.

  10. Unfair contract terms

    Tasks for regulated firms Published: 06/05/2015 Last modified: 10/02/2023
    Find out what the FCA can do to tackle unfair contract terms in financial services contracts and what you should focus on.
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