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Showing 591 to 600 of 2441 search results for risk identification.

591. REP025 data item: FAQs

     Tasks for firms Published: 26/10/2023 Last modified: 24/06/2024
     Find out more about how to complete REP025, for on-going reporting of complaints and revenue data by principal firms on their appointed representatives (ARs) and introducer appointed representatives (IARs).

592. Authorisation of credit unions: mobilisation

     Firm authorisation Published: 24/03/2016 Last modified: 04/03/2024
     Find out how the FCA have simplified the process for authorising credit unions by introducing the mobilisation option to reduce potential barriers to entry in this sector and enable increased competition.

593. Annuity comparator: our research

     Research insights Published: 13/07/2016 Last modified: 17/08/2021
     Find out more about FCA research into the implementation and effects of the proposed ‘annuity comparator’

594. The sponsor regime

     Primary markets Published: 04/05/2016 Last modified: 26/03/2024
     Sponsors are firms we approve to advise premium listed companies on their obligations under the listing regime. Read more about the regime and being a sponsor.

595. FSA - FG11/5 [pdf]

     Finalised guidance Published: 18/03/2011 Last modified: 20/10/2014
     Assessing suitability: Establishing the risk a customer is willing and able to take and making a suitable investment selection

596. FCA bans Terry Farr

     Press Releases Published: 29/05/2019 Last modified: 29/05/2019
     The Financial Conduct Authority (FCA) and Action Fraud are warning the public to be wary of investment scams carried out via bogus online trading platforms. This warning comes as cryptoassests and forex investment scams reports more than tripled

597. Global regulation in the post-crisis era

     Speeches Published: 30/06/2016 Last modified: 01/07/2016
     Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.

598. Improving the consumer experience

     Speeches Published: 13/11/2013 Last modified: 04/12/2013
     Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

599. Overview of the FCA prudential approach

     Speeches Published: 21/05/2015 Last modified: 21/05/2015
     Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

600. Diary engagements

     Last modified: 10/05/2024
     Published diary engagements for the FCA Chair, executives and non-executives.