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Showing 461 to 470 of 2441 search results for risk identification.

  1. GC15/4 Guidance on the FCA’s registration function under the Co-operative and Community Benefit Societies Act 2014 [pdf]

    Guidance consultations Published: 18/06/2015 Last modified: 18/06/2015
    Our draft guidance sets out our views on the setting of interest rates, our concept of a ‘bona fide co-operative society’ and our names policy.

  2. TR13/10 - Outsourcing in the Asset Management Industry [pdf]

    Thematic reviews Published: 04/11/2013 Last modified: 04/11/2013
    We have published the findings from our review that assessed whether asset managers are effectively mitigating the risks relating to outsourcing.

  3. Liquidity management for investment firms: good practice

    Documents Published: 29/02/2016 Last modified: 29/02/2016
    The FCA has been working with the Bank of England, at the request of the Financial Policy Committee (FPC), to assess risks posed by open-ended investment funds investing in the fixed income sector. As part of this work we have engaged with a number

  4. Rolling regulation forwards

    Speeches Published: 16/11/2022 Last modified: 16/11/2022
    Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner.

  5. GC13/3 Examples of good and poor practice in “Banks’ control of financial crime risks in trade finance” [pdf]

    Guidance consultations Published: 02/07/2013 Last modified: 02/07/2013
    The proposed guidance sets out examples of good and poor practice to help banks strengthen their financial crime systems and controls in trade finance.

  6. Is this the decade of the credit union?

    Speeches Published: 17/01/2020 Last modified: 17/01/2020
    Speech by Charles Randell, Chair of the FCA, delivered at the National Credit Union Forum, Penrith.

  7. Carbon credit trading

    Scams Published: 05/04/2016 Last modified: 24/10/2016
    Find out how carbon credit trading works, why we think you should avoid investing in carbon credits and related markets, and how to protect yourself from what is most likely a scam.

  8. TR13/6 - Mobile banking and payments - supporting an innovative and secure market [pdf]

    Thematic reviews Published: 27/08/2013 Last modified: 27/08/2013
    This interim report outlines our reasons for carrying out thematic work on mobile banking and summarises the potential risks we identified from our discovery work. We also set out our high-level plans for our future work on mobile banking.

  9. The Evolution of the Mortgage Market

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    To address these risks, we believe that the key protections of our mortgage regime should be applied to the second charge market. ... That consultation closes on 19 March. We are currently considering our supervisory approach, but in the main expect to

  10. FSA - GC12/11 [pdf]

    Guidance consultations Published: 17/03/2013 Last modified: 11/07/2016
    We have developed this guidance to help firms identify and manage the risks from incentive schemes. The guidance sets out a number of ways, but not the only ways, firms can comply with the relevant requirements set out in the FSA Handbook.
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