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Showing 11 to 20 of 117 search results for risk identification and verification.

  1. Safe custody services firm review findings

    Multi-firm reviews Published: 10/08/2016 Last modified: 18/05/2017
    Read what we found during our series of visits in 2010 to the known providers of safe custody services in the UK, what we would expect to see if we conducted a set of similar visits again in the future, and some examples of good and poor practice

  2. Consumer Duty implementation: good practice and areas for improvement

    Good and poor practice Published: 20/02/2024 Last modified: 22/02/2024
    What firms are doing well and what they could do better.

  3. Dual-regulated firms Remuneration Code (SYSC 19D)

    Tasks for firms Published: 21/06/2015 Last modified: 05/12/2023
    How SYSC 19D applies to dual-regulated firms, comprising banks, building societies and PRA-designated investment firms.

  4. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    Firms need effective risk assessments and must consider for themselves the manner in which their systems and controls evolve as the risks within their businesses evolve. ... That is why developing the effective ‘conduct risk identification muscles’,

  5. Wholesale banks and asset management cyber multi-firm review findings

    Multi-firm reviews Published: 10/12/2018 Last modified: 10/12/2018
    In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These

  6. Assessing suitability

    Tasks for regulated firms Published: 19/02/2016 Last modified: 06/03/2020
    FCA outlines the process you should follow to assess suitability of for a client

  7. Attestations

    About us How we regulate Published: 20/04/2016 Last modified: 06/04/2022
    How and why we use attestations as a supervisory tool.

  8. AML TechSprint problem statements

    Firms Published: 02/07/2018 Last modified: 23/02/2023
    Participants at the International Anti-Money Laundering (AML) and Financial Crime TechSprint selected a problem statement to solve.

  9. FSA - Guidance Note No. 11 [pdf]

    Guidance consultations Published: 17/02/2011 Last modified: 02/05/2013
    As part of this work we have initiated a series of expert groups designed to bring together the FSA and operational risk practitioners at firms to share ideas on current practice, weaknesses, and possible improvements.

  10. Regulated covered bonds

    Firms Regulated markets Published: 13/05/2016 Last modified: 08/02/2023
    Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime.