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Showing 661 to 670 of 2441 search results for risk identification.
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Securitisation Repositories
A Securitisation Repository (SR) is a legal entity that centrally collects and maintains the records of securitisations. Read more on how to apply. -
Accountability, from debate to reality
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the City & Financial conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Senior management functions
Learn about senior management functions (SMFs) and how we assess them. -
Global regulation, local solutions
Speech delivered by Nausicaa Delfas, Executive Director of International, at BCLP, London -
The future of the UK mortgage market
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the FCA mortgage conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Journey towards a conduct regulator
Speech by Clive Adamson, Director of Supervision, the FSA at the Westminster Forum, London -
Final Notice 2022: Santander UK Plc [pdf]
This Final Notice refers to breaches of PRIN 3 related to the risk of financial crime in the Retail Banking sector. We imposed a financial penalty. -
Unregulated collective investment schemes
Find out more about unregulated collective investment schemes (UCIS) and why you should be wary about investing in them. -
FSA - Unregulated Collective Investment Schemes: Good and poor practice report [pdf]
This guide sets out good and poor practice when promoting and providing investment advice on unregulated collective investment schemes (UCIS). It aims to help intermediary firms to understand ways of meeting our Rules and Principles as well as risks -
Finance for positive, sustainable change
In this blog, Sacha Sadan delves into how the FCA has been working with industry, government and global partners to raise ESG standards.