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Showing 991 to 1000 of 2441 search results for risk identification.
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FSA - Review of firms’ implementation of a risk-based approach to anti-money laundering (AML) [pdf]
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Non-financial counterparties subject to EMIR: 2013 review
Read the FCA's 2013 review of how non-financial counterparties (NFCs), which are a part of a group with entities that are financial counterparties (FCs), are calculating the clearing threshold and complying with EMIR. -
GPC SIPP Limited enter administration
Following discussions with the Financial Conduct Authority, on 11 June 2019, the sole director of GPC SIPP Limited, a firm authorised and regulated by the FCA, appointed Adam Stephens and Henry Shinners of Smith & Williamson LLP as joint -
Financial & Risk Organisation Limited (clone of UK registered company)
Financial & Risk Organisation Limited (clone of UK registered company) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this -
Retirement Outcomes Review
We have published the final findings of our Retirement Outcomes Review, which looks at how the retirement income market is evolving since the pension freedoms were introduced in April 2015. -
Creditworthiness and affordability: common misunderstandings
There are some common misconceptions among consumer credit firms as to what the FCA rules on creditworthiness and affordability mean. They explain some of the main points and what firms should do to comply with their rules. -
Apply to become a pre-paid funeral plans firm
If you’re a new funeral plan provider or intermediary, find out when you need to apply to the FCA for authorisation and how to apply. -
Creating and sustaining cultures of compliance: insights from psychology and beyond
As with consumers out shopping, employees may use rules of thumb, discount future losses excessively and under or overestimate the risks of their actions, all with the consequence of moulding their ... This involves increasing the expected costs of -
London Capital and Finance plc
On 30 January 2019, London Capital and Finance plc (LCF) appointed joint administrators who will contact all affected parties in due course -
Protecting access to cash and banking services
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at Which? Cash Summit 2.0