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Showing 11 to 20 of 1468 search results for conduct risk frameworks.

  1. Insurance Conduct of Business Sourcebook (ICOBS)

    Tasks for regulated firms Published: 09/02/2016 Last modified: 16/02/2023
    Read more about ICOBS, our Handbook rules regulating general and protection insurance products sales.

  2. Methodology note on calculating capital pressures

    Statements Published: 27/03/2013 Last modified: 29/03/2013
    In November 2012 the interim Financial Policy Committee recommended that the FSA takes action to ensure that the capital of UK banks and building societies reflects a proper valuation of their assets, a realistic assessment of future conduct costs

  3. Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation

    Press Releases Published: 31/03/2014 Last modified: 01/04/2014
    Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation. ... The Financial Conduct Authority (FCA) has announced plans to look into how firms can reduce the risk of traders manipulating key benchmarks as a central part

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

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    The approach serves as a conduct risk mitigation framework that is increasingly used across FCA Wholesale Supervision and which helps regulated firms enhance the manner in which they conduct business. ... Do firms think appropriately about the conduct

  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. IFPR implementation observations: quantifying threshold requirements and managing financial resources

    Multi-firm reviews Published: 27/02/2023 Last modified: 09/03/2023
    Firms should consider these and how they can strengthen their processes.

  7. Review of host Authorised Fund Management firms

    Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
    We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

  8. What are the lessons for insurance supervisors from the recent financial crisis?

    Speeches Published: 12/02/2013 Last modified: 09/04/2024
    Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank.

  9. Exploring Synthetic Data Validation – privacy, utility and fidelity

    Research articles Published: 12/06/2023 Last modified: 12/06/2023
    This paper explores the insights from a roundtable event hosted by the FCA, the Information Commissioner’s Office, and the Alan Turing Institute.

  10. Supervision

    About us How we regulate Published: 19/04/2016 Last modified: 15/07/2021
    Find out more about the FCA's approach to supervising firms.