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Showing 31 to 40 of 117 search results for risk identification and verification.

31. Money Laundering Regulations

    Firms Focus areas Published: 23/12/2019 Last modified: 21/02/2023
    Find out more about Money Laundering Regulations (MLRS) and how firms need to comply.

32. Market Watch 72

    Newsletters Published: 11/01/2023 Last modified: 11/01/2023
    In this Market Watch, we outline our recent findings on the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs), to clients

33. Cyber security – industry insights

    Research insights Published: 08/03/2019 Last modified: 08/03/2019
    We have published a document bringing together industry insights on cyber resilience. Cyber risks pose a threat to consumers and markets, and part of the FCA’s role is to help firms become more resilient to cyber-attacks, so reducing the risk and

34. Training and competence

    Tasks for regulated firms Published: 12/05/2015 Last modified: 10/02/2023
    Our training and competence regime makes sure the financial services workforce is appropriately qualified and well regulated.

35. A test of conscience

    Speeches Published: 23/02/2015 Last modified: 26/02/2015
    The first conversation is important here. But also complex debates around fraud risk, versus corporate sensitivity to consumer circumstance. ... It is, frankly, often a very difficult equation to de-risk without creating a degree of inflexibility.

36. Do the right thing

    Speeches Published: 01/06/2023 Last modified: 30/10/2023
    Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.

37. Regulatory Sandbox accepted firms

    Firms Published: 27/03/2022 Last modified: 24/05/2024
    Firms that have been accepted into the Regulatory Sandbox, including previous cohorts.

38. Digital regulatory reporting

    Tasks for regulated firms Focus areas Published: 01/11/2017 Last modified: 10/02/2023
    Digital Regulatory Reporting (DRR) is a joint initiative to make regulatory reporting more efficient and effective.

39. Operational resilience: insights and observations for firms

    Tasks for firms Published: 28/05/2024 Last modified: 28/05/2024
    Make sure your firm is ready to comply with the FCA's operational resilience rules by 31 March 2025. Use our observations to help review your firm’s approach.

40. Cash-based money laundering

    Tasks for firms Published: 24/04/2023 Last modified: 24/04/2023
    Find out about the FCA's work on reducing money laundering through cash deposits at the Post Office and their current expectations of firms’ controls.