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Showing 651 to 660 of 2441 search results for risk identification.

  1. Personal data and enforcement

    Last modified: 22/02/2023
    How and why the FCA uses personal data to carry out its enforcement functions.

  2. Modification by consent: COLL 5.6.22R

    Tasks for firms Published: 08/05/2015 Last modified: 10/06/2024
    Find out how this modification works and how to take advantage of it.

  3. How the UK will regulate for the future

    Speeches Published: 14/07/2022 Last modified: 14/07/2022
    Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics.

  4. Heads of compliance and MLROs

    Firms Published: 28/01/2022 Last modified: 08/12/2022
    Make sure you understand our expectations if your firm is applying to us to approve individuals to these positions.

  5. The power of benchmarks: an analysis of the ICE swap rate

    Insight Published: 03/07/2017 Last modified: 03/07/2017
    They have knock-on consequences for us all. The ICE swap rate is used by many firms to hedge interest rate risk and thus to reduce uncertainty.

  6. Statement on recent share trading issues

    Statements Published: 29/01/2021 Last modified: 29/01/2021
    Buying shares in volatile markets is risky and you may quickly lose money. These losses are unlikely to be covered by the Financial Services Compensation Scheme.

  7. A sustainable conduct environment

    Speeches Published: 20/03/2014 Last modified: 27/03/2014
    Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

  8. Our investigations – the evolving approach

    Speeches Published: 15/06/2017 Last modified: 15/06/2017
    Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.

  9. Examination standards

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    The FCA's training and competence regime includes a list of appropriate qualifications for firm activities and services.

  10. Unfair contract terms library

    Tasks for firms Published: 03/08/2015 Last modified: 09/05/2024
    The FCA's work on unfair contract terms including past undertakings, agreements and other publications.
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