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Showing 351 to 360 of 2441 search results for risk identification.

  1. FG23/3: Finalised non-handbook guidance on Cryptoasset Financial Promotions [pdf]

    Finalised guidance Published: 02/11/2023
    Following a change in legislation, cryptoassets promotions targeting UK consumers now fall within our remit. We have introduced rules that are designed to give people a better understanding of what they are investing in, and the risks involved.

  2. Credit Broking survey

    Firms Published: 12/05/2021 Last modified: 03/09/2021
    We are asking regulated firms that hold the credit broking permission to complete a short survey to update the information we hold on how they are using this permission.

  3. 100 days of the FCA

    Speeches Published: 09/07/2013 Last modified: 16/08/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, at the ABI Biennial Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Agreements with overseas regulators

    About us What we do Last modified: 17/12/2021
    See the Memoranda of Understanding (MoUs) and other agreements we have with overseas regulators.

  5. Statement on mortgage prisoners

    Statements Published: 01/05/2020 Last modified: 29/11/2021
    The FCA has been working for some time to support mortgage prisoners. This work has continued during the disruption caused by Coronavirus. So far, our action has resulted in reductions in mortgage payments for the vast majority of mortgage prisoners,

  6. The fight against skimmers and scammers

    Speeches Published: 05/09/2019 Last modified: 05/09/2019
    Speech by Charles Randell, Chair of the FCA, delivered at the Cambridge Economic Crime Symposium.

  7. Pawnbroking sector review

    Multi-firm reviews Published: 10/07/2018 Last modified: 10/07/2018
    As part of our Mission, we recently published details of Our Approach to Supervision. In this, we outlined how we supervise firms as part of a portfolio of firms that share a common business model. Pawnbroking forms part of the high-cost credit

  8. Professional indemnity insurance

    Tasks for firms Published: 13/05/2015 Last modified: 13/07/2023
    Professional indemnity insurance (PII) is liability insurance that covers firms when a third party claims to have suffered a loss, usually due to professional negligence.

  9. FG21/5: General guidance on the application of ex-post risk adjustment to variable remuneration [pdf]

    Finalised guidance Published: 22/10/2021
    The main purpose of this guidance is to set out the FCA's expectations of the way in which firms comply with the requirements on ex-post risk adjustment.

  10. FSA - GC10/3 [pdf]

    Guidance consultations Published: 22/10/2010 Last modified: 11/07/2016
    The guidance is non-exhaustive and non-prescriptive and we expect it will be used to inform good practice. It focuses on operational risk governance and risk management structures, identifying, managing, monitoring and reporting operational risk and
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