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Showing 391 to 400 of 2441 search results for risk identification.

  1. FSA - GC11/17 [pdf]

    Guidance consultations Published: 12/07/2011 Last modified: 11/07/2016
    This paper is the next of a series issued by the FSA to assist firms and supervisors in understanding, assessing and enhancing the adequacy and effectiveness of operational risk (OR) frameworks used by firms to implement the standardised approach

  2. FSA - FG11/3 [pdf]

    Finalised guidance Published: 18/01/2011 Last modified: 20/10/2014
    ALM is a key management function that spans the entire legal entity and group, as appropriate. The exact scope of ALM can vary – for example, oversight for non-traded market (interest) risk in the banking book might be the responsibility of a

  3. FSA - FG11/21 [pdf]

    Finalised guidance Published: 08/11/2011 Last modified: 20/10/2014
    This paper is the next of a series issued by the FSA to assist firms and supervisors in understanding, assessing and enhancing the adequacy and effectiveness of operational risk (OR) frameworks used by firms to implement the standardised approach

  4. CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients [pdf]

    Consultation papers Published: 06/12/2016
    This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks.

  5. Changes in mortgage regulation

    Speeches Published: 11/11/2015 Last modified: 11/11/2015
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations, delivered at the Council of Mortgage Lenders conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  6. MiFID II – the road ahead

    Speeches Published: 20/10/2015 Last modified: 26/10/2015
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. FG15/10: Risks to customers from performance management at firms - Thematic review and guidance for firms [pdf]

    Finalised guidance Published: 27/07/2015 Last modified: 27/07/2015

  8. FS21/7: Open finance [pdf]

    Feedback statements Published: 26/03/2021
    We summarise the feedback we received to our Call for Input, which explored the opportunities and risks from open finance.

  9. Knowledge Base

    Markets Primary markets Published: 02/05/2016 Last modified: 29/04/2024
    The Knowledge Base is our source of technical guidance on our Listing Rules, Prospectus Regulation Rules and Disclosure and Transparency Rules.

  10. LTAF valuation and pricing requirements

    Firms Published: 24/11/2022 Last modified: 24/11/2022
    This page is intended to help investors and potential investors understand how their units in a Long-Term Asset Fund are priced.
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