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Showing 421 to 430 of 2441 search results for risk identification.

421. CP20/17: Extension of Annual Financial Crime Reporting Obligation [pdf]

     Consultation papers Published: 24/08/2020 Last modified: 24/08/2020
     We are considering extending the scope of our annual financial crime reporting obligation to include firms that carry on regulated activities that potentially pose a higher money laundering risk.

422. FS20/10: Coronavirus and safeguarding customers’ funds: guidance for payment and e-money firms [pdf]

     Feedback statements Published: 09/07/2020
     We summarise the feedback to our proposed temporary guidance on payment firms’ prudential risk management and safeguarding arrangements for customers’ funds, in light of coronavirus.

423. How to organise a COO

     Speeches Published: 08/02/2023 Last modified: 08/02/2023
     Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023

424. Final Notice 2020: Risk Free Claims Management Ltd [pdf]

     Final notices Published: 11/09/2020 Last modified: 11/09/2020
     This final notice refers to a failure to satisfy threshold conditions (COND) and to be open and cooperative (PRIN 11) in the claims management sector. We refused the firm’s application for authorisation.

425. Innovation in financial services

     Speeches Published: 10/11/2015 Last modified: 10/11/2015
     Speech by Christopher Woolard, director of strategy and competition at the FCA, delivered at the FinanceAsia Annual Compliance Summit in Hong Kong on 10 November 2015. This is the text of the speech as drafted, which may differ from the delivered

426. [pdf]

     Published: 08/05/2024
     The rules for high-risk investments video transcript

427. Proxy advisors

     Markets Published: 18/12/2019 Last modified: 17/04/2024
     Proxy advisors offer research, advice or recommendation services. Read more about the Proxy Advisors Regulations, joining our public list and reporting breaches.

428. Operational risk panel presentation (updated) [pdf]

     Documents Published: 21/05/2015 Last modified: 03/08/2016
     Updated slides from the FCA Prudential Supervision Forum.

429. Countdown to the Consumer Duty

     Speeches Published: 10/05/2023 Last modified: 10/05/2023
     Speech by Sheldon Mills, Executive Director, Consumers and Competition at EY: Less than three months to go until the Consumer Duty Implementation webinar

430. OPBAS Multi-PBS project on TCSP risk [pdf]

     Multi-firm reviews Published: 16/03/2023
     Report from a multi-PBS project looking at how professional bodies assess TCSP risk.