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Showing 731 to 740 of 2441 search results for risk identification.

  1. FCA fines CGML £27,766,200 for failures in its trading systems and controls

    Press Releases Published: 22/05/2024 Last modified: 22/05/2024
    The FCA has fined Citigroup Global Markets Limited (CGML) £27,766,200.

  2. Application under MIFIDPRU 4.12.6R [docx]

    Forms Published: 19/11/2021
    Application under MIFIDPRU 4.12.6R for permission to make a material change or a material extension to the use of an advanced internal market risk model

  3. Fast-growing firms (FGFs) multi-firm review

    Multi-firm reviews Published: 10/03/2023 Last modified: 13/03/2023
    We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities.

  4. 'Finfluencers’ charged for promoting unauthorised trading scheme

    Press Releases Published: 16/05/2024 Last modified: 03/07/2024
    We have charged nine individuals in relation to an unauthorised foreign exchange trading scheme promoted on social media.

  5. Consumer warning about the risks of investing in binary options

    News stories Published: 14/11/2017 Last modified: 03/01/2018
    The FCA is issuing this warning to inform consumers about the risk of investing in these high-risk, speculative products. From 3 January 2018, firms offering binary options in or from the UK must be authorised by the FCA.

  6. Vets and dentists

    Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
    Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application.

  7. FSA - Customer survey [pdf]

    Archive Published: 05/12/2007 Last modified: 03/08/2016
    If you use a customer survey think about the questions you are asking and if they help you identify areas where your firm and its advisers are/are not treating customers fairly and therefore areas where improvements are needed. This document is

  8. Psychological safety

    Firms Tasks for regulated firms Published: 18/02/2019 Last modified: 09/02/2023
    Read about work on psychological safety, part of the FCA culture and governance priority. Watch videos featuring experts discussing creating a speak up, listen up culture in financial services.

  9. Report mortgage fraud (lenders)

    Tasks for firms Published: 24/02/2016 Last modified: 02/08/2023
    Find out about our Information from Lenders (IFL) scheme and use our online reporting document to tell us about suspected fraud.

  10. Getting the right investor outcomes

    Speeches Published: 24/09/2014 Last modified: 30/09/2014
    Speech by William Amos, Director of Wholesale Banking and Investment Management at the Investment Week Fund Management Summit, London. This is the text of the speech as drafted, which may differ from the delivered version.
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