Search results
Showing 51 to 60 of 117 search results for risk identification and verification.
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Non-financial counterparties subject to EMIR: 2014 review
The findings from the FCA's 2014 review on how non-financial counterparties (NFCs) calculate the clearing threshold and how they are complying with European Market Infrastructure Regulation (EMIR). -
Primary Market Bulletin 46
This edition covers Article 10 UK MAR and ESG stewardship and TCFD-aligned disclosures: sponsor procedures. -
Financial promotions quarterly data 2022 Q1
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for January 2022 to 31 March 2022. -
FCA publishes the number of STORs received in 2019
The FCA has published its suspicious transaction and order reports (STORs) figures for the year ending December 2019. -
Open Finance: an opportunity for financial services
Speech by Sheldon Mills, Director of Competition at the FCA, delivered at The Investments and Savings Alliance (TISA) Open Finance Conference, London. -
The importance of purposeful anti-money laundering controls
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021. -
Business Plan 2022/23
The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
Recovery plans – initial observations
In general, the identification and analysis of internal and external interconnectedness was insufficient. ... A large number of firms struggled with the identification and calibration of recovery plan indicators. -
The FCA’s Business Plan and Priorities
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester -
Innovation, AI & the future of financial regulation
Speech by Jessica Rusu, FCA Chief Data, Information and Intelligence Officer, at the Innovate Finance Global Summit.