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Showing 371 to 380 of 2441 search results for risk identification.

  1. FSA - FG11/10 [pdf]

    Finalised guidance Published: 28/07/2011 Last modified: 20/10/2014
    The survey sought to analyse the derivative risk management practices in place across the investment management industry.

  2. Mortgage fraud

    Consumers Your rights Published: 04/04/2016 Last modified: 20/03/2023
    If you mislead a lender about the sale price of your home, you could be committing fraud. Find out how this crime works and how to protect yourself.

  3. Asset management: A regulatory perspective

    Speeches Published: 26/04/2018 Last modified: 26/04/2018
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference.

  4. Clearing obligation

    Markets Markets policy Published: 24/05/2016 Last modified: 24/06/2024
    Find out more about the clearing obligation under Article 4 of UK European Market Infrastructure Regulation and the updates to the clearing obligation regime under UK EMIR REFIT.

  5. MIFIDPRU Remuneration Code: Material Risk Takers Template [xlsx]

    Forms Published: 22/10/2021
    This table is a tool for firms to keep a record of assessment of which staff are identified as Material Risk Takers as required by SYSC 19G.5.2.R

  6. CP23/11: Remuneration: Enhancing proportionality for dual‑regulated firms [pdf]

    Consultation papers Published: 12/05/2023
    We want to ensure our remuneration rules for smaller, less complex dual-regulated firms are proportionate to the risks they pose to consumers and markets in the UK.

  7. FG13/7 - Dealing fairly with interest-only mortgage customers who risk being unable to repay their loan [pdf]

    Finalised guidance Published: 29/08/2013 Last modified: 20/10/2014
    Dealing fairly with interest-only mortgage customers who risk being unable to repay their loan.

  8. Car finance complaints

    Complaints Consumers Published: 11/01/2024 Last modified: 21/03/2024
    Some car finance customers may have been charged too much on their loans. Find out what to do if you think this affects you.

  9. GC15/1 Risks to customers from performance management at firms [pdf]

    Guidance consultations Published: 16/03/2015 Last modified: 16/03/2015
    The focus of this proposed guidance is on the risks that are posed to consumers by inappropriate practices.

  10. Retail Conduct Risk Outlook 2011 [pdf]

    Business plans Published: 28/02/2011 Last modified: 31/05/2013
    The Retail Conduct Risk Outlook (RCRO) presents our view of current, emerging and potential risks to consumers arising from poor conduct by firms. The outlook aims to inform a dialogue with consumers and firms, increase awareness of risks, and
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