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Showing 341 to 350 of 2441 search results for risk identification.

  1. Wider Implications Framework

    About us Published: 29/08/2023 Last modified: 10/06/2024
    Find out more about the Wider Implications Framework's role guiding cooperation between members of the regulatory family.

  2. Side pockets

    Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
    Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.

  3. Apply to become a debt firm

    Firm authorisation Published: 27/04/2020 Last modified: 19/12/2023
    Find out how to apply to the FCA for authorisation if you’re a debt advice, debt collection or debt purchaser firm, or if you conduct debt administration.

  4. Sample business plan

    Firm authorisation Published: 25/10/2023 Last modified: 25/10/2023
    If you're applying to be authorised by the FCA, learn what to include in your regulatory business plan (RBP).

  5. Regulatory priorities for retail banking

    Speeches Published: 23/11/2017 Last modified: 23/11/2017
    Speech delivered by Karina McTeague, Director of Retail Banking Supervision at the FCA, at the Westminster Business Forum on retail banking and payments.

  6. Call for Input: Open finance

    Calls for input Published: 17/12/2019 Last modified: 26/03/2021
    In this paper we set out some of the recent developments across the crowdfunding sector and a number of concerns that we have identified in response.

  7. PS22/10: Strengthening our financial promotion rules for high‑risk investments and firms approving financial promotions [pdf]

    Policy statements Published: 01/08/2022
    This Policy Statement (PS) summarises the feedback we received to CP22/2. It sets out our final policy position and Handbook rules, which are designed to strengthen the regime for how high-risk investments (HRIs) can be promoted

  8. CP20/8: High-risk investments: Marketing speculative illiquid securities (including speculative mini bonds) to retail investors [pdf]

    Consultation papers Published: 18/06/2020
    We want

  9. Transcript of Risk Outlook 2014 video [pdf]

    Documents Published: 31/03/2013 Last modified: 03/08/2016

  10. Personal data and Financial Lives survey

    Last modified: 01/02/2024
    This privacy notice explains what personal data the FCA collects during the Financial Lives survey and how and why it uses the information as part of its regulatory work.
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