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Showing 471 to 480 of 2441 search results for risk identification.

  1. Apply to become a mortgage broker

    Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
    Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application.

  2. FSA - FG12/12 [pdf]

    Finalised guidance Published: 25/04/2012 Last modified: 20/10/2014
    In November 2011, we published guidance for consultation strongly recommending that TLPIs should not reach the vast majority of retail clients in the UK. Having carefully considered all the responses we have received, we now publish the finalised

  3. TR13/3 - Banks’ control of financial crime risks in trade finance [pdf]

    Thematic reviews Published: 01/07/2013 Last modified: 01/07/2013
    This report describes how banks in the UK control money laundering, terrorist financing and sanctions risks (collectively ‘financial crime risks’) in trade finance business and sets out the findings from our recent thematic review.

  4. Building better foundations in AI

    Speeches Published: 24/01/2023 Last modified: 24/01/2023
    Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at The Alan Turing Institute’s Framework for Responsible Adoption of Artificial Intelligence in the Financial Services Industry event.

  5. Locking down market abuse

    Speeches Published: 08/03/2021 Last modified: 08/03/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

  6. Consumer credit - Sales and advice

    Consumer credit firms Published: 25/04/2019 Last modified: 16/02/2023
    Learn about the information you need to give customers when selling your products, and assessing a customer’s creditworthiness.

  7. The FPC’s mortgage market recommendations

    Firms Mortgage lenders and intermediaries Published: 24/02/2016 Last modified: 09/02/2023
    Read more about the Financial Policy Committee's recommendations to the PRA and FCA.

  8. Writing a business plan: credit unions

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    If you wish to set up a credit union, find out how to write a business plan to support your organisation.

  9. Ethics and Economics

    Speeches Published: 04/03/2014 Last modified: 05/03/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, to the Worshipful Company of International Bankers, London 4 March 2014. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Primary Market Bulletin 34

    Newsletters Published: 24/06/2021 Last modified: 09/07/2021
    This edition consults on changes we propose to make to our Knowledge Base in relation to the prospectus regime.
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