Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 951 to 960 of 2441 search results for risk identification.

  1. TR19/4: Understanding the money laundering risks in the capital markets

    Thematic reviews Published: 10/06/2019 Last modified: 11/06/2019
    We carried out this thematic review to look at the money-laundering risks and vulnerabilities in the capital markets and, where possible, to develop case studies to help inform the industry.

  2. Samsky Pay Ltd consumer warning

    News stories Published: 25/07/2023 Last modified: 25/07/2023
    We have removed permissions from Samsky Pay Ltd. This means it is no longer permitted to carry out regulated activities.

  3. FCA consults on complaints handling improvements

    Press Releases Published: 12/12/2014 Last modified: 07/02/2022
    Financial services firms will no longer be able to use premium rate telephone numbers for customers as part of a series of proposals from the Financial Conduct Authority (FCA) on changes to the rules on complaint handling and post-sale telephone

  4. FCA Enforcement and the Wholesale Markets

    Speeches Published: 26/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered

  5. UK wholesale markets pre-application support service

    Firm authorisation Published: 05/07/2023 Last modified: 18/10/2023
    If you're a wholesale markets firm, find out how our pre-application support service (PASS) can provide extra support before you apply to us for authorisation.

  6. Evolving the FCA's approach to markets regulation

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  7. FCA calls for views on social investments

    Press Releases Published: 14/12/2015 Last modified: 04/03/2022
    The FCA is calling for contributions on how regulation is working in relation to the social investment market.

  8. Authorised fund supervision reviews and reporting agreement

    News stories Published: 20/02/2015 Last modified: 06/08/2015
    Find out about some of our supervision work and a reporting agreement with depositaries and trustees.

  9. Complain about us, the PRA or the Bank of England (the regulators)

    How we operate Published: 04/04/2016 Last modified: 13/03/2024
    Find out how to make a complaint about the regulators and how we investigate complaints.

  10. CFRF Guide 2022: Transition net zero - managing legal risks [pdf]

    Corporate documents Published: 12/12/2022
    This chapter from the Climate Financial Risk Forum (CFRF) represents output from the Transition Net Zero Working Group of the Climate Financial Risk Forum (CFRF). The outputs relate to the industry managing legal risks in relation to transition to
Related topics