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Showing 31 to 40 of 2441 search results for risk identification.

31. AI: Flipping the coin in financial services

    Speeches Published: 05/10/2023 Last modified: 05/10/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the City and Financial Global AI Regulation Summit 2023.

32. Consumer Duty – information for firms

    Tasks for firms Published: 02/10/2022 Last modified: 26/06/2024
    To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market.

33. Business Plan 2023/24

    Corporate documents Business plans Published: 04/04/2023 Last modified: 02/07/2024
    The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.

34. NPPR supervisory co-operation arrangements (MoUs)

    Published: 27/05/2016 Last modified: 25/09/2023
    The FCA provides information on Memorandums of Understanding (MoUs) and it is a pre-condition under the Alternative Investment Fund Managers Directive (AIFMD)

35. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.

36. Operational Resilience

    Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
    We set out the requirements of our policy and how to report an operational disruption.

37. Key workers in financial services

    Firms Published: 20/03/2020 Last modified: 10/11/2020
    We set out steps firms should take to help identify key workers in financial services.

38. Market Watch 79

    Newsletters Published: 09/05/2024 Last modified: 09/05/2024
    Newsletter on market abuse surveillance and data governance, surveillance failures and the FCA's model testing peer review, May 2024.

39. Cash-based money laundering

    Tasks for firms Published: 24/04/2023 Last modified: 24/04/2023
    Find out about the FCA's work on reducing money laundering through cash deposits at the Post Office and their current expectations of firms’ controls. 

40. Do the right thing

    Speeches Published: 01/06/2023 Last modified: 30/10/2023
    Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.