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Showing 41 to 50 of 2441 search results for risk identification.

  1. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    As I’ve said before, firms must take their responsibility to reduce the risk of financial crime seriously. ... But managing this risk is hard – it cannot be hedged or managed down.

  2. About the FCA

    About us What we do Published: 19/04/2016 Last modified: 26/04/2024
    The FCA regulates the conduct of nearly 45,000 businesses in the UK to ensure that financial markets work well. Find out more about our role.

  3. A test of conscience

    Speeches Published: 23/02/2015 Last modified: 26/02/2015
    The first conversation is important here. But also complex debates around fraud risk, versus corporate sensitivity to consumer circumstance. ... It is, frankly, often a very difficult equation to de-risk without creating a degree of inflexibility.

  4. Assessing the value of financial advice

    Speeches Published: 04/12/2017 Last modified: 11/04/2018
    Speech by Megan Butler, Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered to The Personal Investment Management and Financial Advice Association (PIMFA) in London.

  5. Advising on pension transfers – our expectations

    News stories Published: 24/01/2017 Last modified: 12/04/2024
    Check the FCA requirements when you provide advice on pension transfers.

  6. Money laundering and terrorist financing

    Focus areas Published: 02/08/2015 Last modified: 21/02/2023
    Find out more about the regulations and risk-based approach to anti-money laundering.

  7. Wholesale banks and asset management cyber multi-firm review findings

    Multi-firm reviews Published: 10/12/2018 Last modified: 10/12/2018
    In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These

  8. What makes good conduct regulation?

    Speeches Published: 14/02/2017 Last modified: 14/02/2017
    Speech by John Griffith Jones, Chairman at the FCA, delivered at the Cambridge Judge Business School.

  9. Market Watch 72

    Newsletters Published: 11/01/2023 Last modified: 11/01/2023
    In this Market Watch, we outline our recent findings on the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs), to clients

  10. A to Z of financial terms - Risk identification

    Consumers Published: 20/03/2023 Last modified: 20/03/2023
    A to Z of financial services to help you understand financial and legal terms.
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