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Showing 71 to 80 of 1175 search results for conduct risk appetite.
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Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
FCA warns that younger investors are taking on big financial risks
The Financial Conduct Authority (FCA) has published research findings into better understanding investors who engage in high-risk investments like cryptocurrencies and foreign exchange. -
Building Societies and the Future of Retail Banking
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at Building societies annual conference 2018, Manchester. -
Santander UK fined £12.4m for widespread investment advice failings
Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank. -
FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures
The FCA found that Banks’ did not have adequate systems and controls to identify and manage their exposure to IT risks.In particular:. ... the IT risk appetite and policy was too limited because it should have had a much greater focus on designing -
The Climate Financial Risk Forum publishes its second set of guides to help the financial industry effectively manage climate-related financial risks
Written by industry, for industry, the guides focus on risk management, scenario analysis, disclosure, innovation and climate data and metrics -
Critical issues in financial regulation: The FCA's perspective
Speech by our CEO, Nikhil Rathi, delivered at City Week 2022. -
Financial Conduct Authority to tackle competition problems with the trade data market
A new FCA report has found that competition in some parts of the wholesale data market is not working as well as it should. -
How to flex your organisation's power through culture and conduct
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at City & Financial's Culture and Conduct Forum. -
FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings
The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016.