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Showing 621 to 630 of 2441 search results for risk identification.
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FSA - FG13/2 [pdf]
The FCA has taken over the OFT's responsibilities for consumer credit regulation from 1 April 2014. As a result, the OFT elements of this joint guidance (including Annex 2) are no longer in force. Annex 1 continues to apply, and references to 'FSA' -
Cryptoasset firms marketing to UK consumers
All cryptoasset firms marketing to UK consumers will need to comply with the UK financial promotions regime. -
Insistent clients: good and poor practice
Find out more about what the FCA consider to be good and poor practice when advising insistent clients. -
Credit unions carrying out consumer credit activities
Find out how to notify the FCA or apply for permission to carry out Conditional Sale, Hire Purchase or other types of consumer credit activity. -
UK EMIR notifications and exemptions
Notifications and applications under UK European Market Infrastructure Regulation (UK EMIR) fall into certain categories. Learn more about these notifications, applications and relevant technical standards. -
Expectations of firms selling client banks
In the FCA's view, the client bank is the firm’s asset. It will act where these lists are being sold with redress liabilities. -
FCA Technical Note: Sponsor procedures in uncertain market conditions – FCA TN 705.2 (Amendment) [pdf]
Uncertain market conditions can heighten risks that sponsor firms face from failures in their systems and controls. -
Going green: the FCA’s developing approach
Speech by Christopher Woolard, Executive Director of Strategy and Competition, delivered at the FCA’s Innovating for a Greener Great Britain event, London. -
Financial Sanctions
Find out what to do if your firm is subject to financial sanctions or you suspect there has been a sanctions breach. -
Sustainability TechSprint
In October 2021 we held a TechSprint focused on building technological solutions to overcome challenges faced by regulators in monitoring ESG Data and Disclosures.