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Showing 601 to 610 of 2441 search results for risk identification.

  1. Supervision of authorised funds

    Tasks for regulated firms Published: 11/05/2015 Last modified: 14/02/2023
    Information on how our supervision of UK authorised funds protects investors and maintains a competitive market environment.

  2. FCV Broker (clone of FCA authorised firm)

    Warnings Published: 14/06/2012 Last modified: 27/05/2015
    Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

  3. FSA - GC11/27 [pdf]

    Guidance consultations Published: 02/11/2011 Last modified: 25/06/2013
    Structured products are rising in popularity and the FSA is concerned that the growing number of structured product sales, as well as increasing product complexity, is placing a strain on firms’ systems and controls.

  4. Consumer Credit Seminar

    Speeches Published: 21/10/2014 Last modified: 20/03/2024
    Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA.

  5. Our gender pay gap 2018

    Data Published: 19/11/2018 Last modified: 10/06/2022
    We report on our gender pay gap and our target to increase the senior representation of women at the FCA

  6. FSA Application Refusal 2010: GRO Risk Solutions LTD - Firm final notice [pdf]

    Final notices Published: 09/03/2010 Last modified: 14/06/2014
    FSA Application Refusal 2010: GRO Risk Solutions LTD - Firm final notice

  7. Open-ended funds investing in less liquid assets

    Speeches Published: 19/03/2020 Last modified: 19/03/2020
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members.

  8. FSA - FG12/11: Advertising ISAs & Adverts for Investment Professionals [pdf]

    Finalised guidance Published: 30/03/2012 Last modified: 20/10/2014
    We expect all firms to promote their products and services in a way that treats their customers fairly. Amongst other things, we look for a clear and adequate description of the product, with a fair balance between its benefits, key risks and

  9. Statement on UK markets

    Statements Published: 23/03/2020 Last modified: 27/03/2020
    The FCA is working with international counterparts in US, EU and elsewhere so that markets can remain open and orderly, and so they can continue to perform their essential role in supporting businesses, governments, jobs and the broader economy. 

  10. Sponsor conflicts of interest

    Primary markets Published: 19/09/2018 Last modified: 16/12/2022
    Our rules require sponsors to identify and manage different conflicts of interest. Learn about our involvement in assessing conflicts.
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