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Showing 381 to 390 of 2441 search results for risk identification.

  1. FCA publishes rules on retirement risk warnings

    Press Releases Published: 27/02/2015 Last modified: 27/02/2015
    The new personalised 'risk warnings' must now be given to customers when they contact a firm to access their pension savings. ... Firms should consider a number of issues when designing appropriate risk warnings, for example:.

  2. Building on experience

    Speeches Published: 17/04/2013 Last modified: 01/07/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, at 'The future of financial services', Lansons, London.

  3. Looking ahead to 2014

    Speeches Published: 09/12/2013 Last modified: 09/12/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  4. GC15/2 General guidance on the application of ex-post risk adjustment to variable remuneration [pdf]

    Guidance consultations Published: 26/03/2015 Last modified: 26/03/2015
    This revised guidance consultation is intended to share the latest good practice observed in the 2014 remuneration round and clarify the FCA’s expectations on how relevant firms meet the Remuneration Code requirements on ex-post risk adjustment.

  5. Price: the cornerstone of markets

    Speeches Published: 03/02/2014 Last modified: 18/01/2017
    Speech by David Lawton, Director of Markets of the FCA at the International Capital Market Association (ICMA) Capital Market Lecture Series 2014 on Monday 3 February 2014. This is the text of the speech as drafted, which may differ from the

  6. Pensions and Retirement income: our guidance for firms

    Life insurers and pension providers Published: 07/04/2020 Last modified: 13/02/2023
    The FCA's guidance for pension providers and DB transfer advisers, as the coronavirus (Covid-19) pandemic develops.

  7. FSA - FS11/2 [pdf]

    Feedback statements Published: 28/03/2011 Last modified: 30/05/2013
    Feedback FSA - FS11/2 - This Feedback Statement reports on the main issues arising from Discussion Paper 10/1, Consumer complaints (emerging risks and mass claims).

  8. FSA - GC11/12 [pdf]

    Guidance consultations Published: 24/05/2011 Last modified: 11/07/2016
    We are issuing this guidance to set out our expectations on firms using the Supervisory Formula Method (SFM) to calculate risk-weighted exposure amounts (RWEA) for unrated securitisation positions.

  9. FSA - DP10/1 [pdf]

    Discussion papers Published: 11/02/2010 Last modified: 30/05/2013
    Discussion FSA - DP10/1 - The FSA's Discussion paper DP10/1 is entitled 'Consumer complaints (emerging risks and mass claims)'. It was published in March 2010 and the period for responses closes on 10 June 2010.

  10. Market Watch 68

    Newsletters Published: 16/11/2021 Last modified: 19/11/2021
    In this Market Watch we discuss web-based trading platforms, which are widely used for Rates and Fixed Income products and share our concerns about gaps in users’ surveillance of web-based platform activity.
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