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Showing 531 to 540 of 2441 search results for risk identification.

  1. Personal data and supervision

    Last modified: 13/12/2023
    How and why the FCA uses personal data to carry out its supervision functions.

  2. Case concerning CEO referred to the Upper Tribunal

    Press Releases Published: 11/12/2015 Last modified: 11/12/2015
    807 for failing to ensure the network’s risk management framework was adequate to mitigate risks to the group’s customers. ... Ms Grigg’s failures resulted in the group operating under a flawed risk management framework which did not adequately

  3. FSA - Handbook Notice 106 [pdf]

    Handbook Published: 20/01/2011 Last modified: 30/05/2013
    On 19 January 2011 the FSA Board made changes to the Handbook which give guidance on ‘acting in concert’ and ‘deemed voting power’ following legislative changes made to the controllers’ regime in the Financial Services and Markets Act 2000

  4. Report fee tariff data

    Tasks for regulated firms Published: 08/05/2015 Last modified: 15/02/2023
    Read FCA guidance on how to fill in your online tariff data forms and provide information about your firm that will help calculate annual fees for the next financial year.

  5. Regulation for a different world

    Speeches Published: 06/05/2021 Last modified: 07/05/2021
    Speech by our CEO, Nikhil Rathi, on Regulation for a Different World at the Association of Foreign Banks.

  6. Periodic auctions

    Research insights Published: 25/06/2018 Last modified: 28/06/2018
    With MiFID II altering the landscape of equity markets, we take a look at this emerging trading format – with the help of data. 

  7. Regulation as a spur to growth

    Speeches Published: 05/06/2013 Last modified: 01/07/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, to the Investment Management Association (IMA) at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Final Notice 2015: Bank of Beirut (UK) Ltd [pdf]

    Final notices Published: 05/03/2015 Last modified: 05/03/2015
    This final notice refers to breaches of PRIN 11 related to financial crime risks and failure to be open and cooperative with the Authority. We imposed a fine and a restriction.

  9. Apply to become a consumer investments firm

    Firm authorisation Published: 09/11/2023 Last modified: 19/12/2023
    Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform.

  10. Remote or hybrid working: FCA expectations for firms

    Tasks for regulated firms Published: 11/10/2021 Last modified: 13/02/2023
    It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities.
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