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Showing 831 to 840 of 2441 search results for risk identification.

  1. Learning from the last 30 years to face the next

    Speeches Published: 05/05/2022 Last modified: 06/05/2022
    Speech by our Chief Executive, Nikhil Rathi on the need to maintain skills and professional standards in the future; delivered at the CISI 30th anniversary dinner.

  2. Primary Market Bulletin 37

    Newsletters Published: 09/12/2021 Last modified: 09/12/2021
    In this edition we cover the implementation of our postponed rules that require issuers to publish their annual financial reports. We explain the importance of adequate business continuity procedures and review sponsor requirements to identify and

  3. The future of regulation: AI for consumer good

    Speeches Published: 16/07/2019 Last modified: 16/07/2019
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Alan Turing Institute.

  4. Corporate finance firms

    Firm authorisation Published: 05/07/2023 Last modified: 18/10/2023
    Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application.

  5. Data strategy update 2022

    Data Published: 23/06/2022 Last modified: 24/06/2022
    The FCA sets out where it has made progress against its 2020 Data Strategy, where it has more to do, and where it has increased its focus.

  6. Reporting sanctions evasions

    Firms Markets Last modified: 20/05/2022
    If you have information about sanctions evasion or weaknesses in sanction controls we want you to report it to us.

  7. Portfolio letter: FCA Supervisory strategy for the Debt Advice portfolio [pdf]

    Correspondence Published: 27/06/2022
    The FCA updates debt advice firms on the key risks they pose, outlining its expectations of how these risks should be mitigated, and sets out a supervisory strategy to ensure that firms meet its expectations.

  8. Capital market regulation and coronavirus

    Speeches Published: 07/08/2020 Last modified: 07/08/2020
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the ShareSoc Webinar: building market and investor confidence.

  9. Considerations for firms after the transition period

    Firms Published: 11/07/2018 Last modified: 12/03/2024
    Find out how Temporary Transitional Power (TTP) may affect you. It will depend on several factors, including the nature of your business and where your customers are located.

  10. Fair and Effective Markets Review published

    News stories Published: 10/06/2015 Last modified: 04/11/2019
    The Fair and Effective Markets Review (FEMR) was a comprehensive and forward-looking assessment of the way fixed income, currency and commodity (FICC) markets operate.
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