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Showing 21 to 30 of 1468 search results for conduct risk frameworks.

  1. The FCA’s approach to Brexit: our preparations and our vision for the future

    Speeches Published: 19/07/2018 Last modified: 09/10/2020
    Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at Bloomberg/TheCityUK.

  2. AIFMD

    Focus areas Published: 08/06/2016 Last modified: 06/02/2023
    The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements.

  3. Supervision

    About us How we regulate Published: 18/04/2016 Last modified: 13/12/2023
    Find out about the FCA's approach to supervising firms, including why we supervise and how we divide the financial sectors we regulate.

  4. Apply to become a debt firm

    Firm authorisation Published: 27/04/2020 Last modified: 19/12/2023
    Find out how to apply to the FCA for authorisation if you’re a debt advice, debt collection or debt purchaser firm, or if you conduct debt administration.

  5. Case concerning CEO referred to the Upper Tribunal

    Press Releases Published: 11/12/2015 Last modified: 11/12/2015
    807 for failing to ensure the network’s risk management framework was adequate to mitigate risks to the group’s customers. ... Ms Grigg’s failures resulted in the group operating under a flawed risk management framework which did not adequately

  6. Supporting material for applications by consumer credit, mortgage and other consumer finance firms

    Firm authorisation Published: 15/11/2023 Last modified: 13/12/2023
    If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything.

  7. Liquidity data items: FAQs

    Registers and systems Published: 10/05/2016 Last modified: 13/06/2022
    Liquidity data items: FAQs

  8. Supervision of UK regulated covered bonds

    Published: 13/05/2016 Last modified: 23/06/2023
    Find out about our role supervising regulated covered bond programmes and regulated covered bonds, key features of the regime and stress testing.

  9. Skilled Person Panel [pdf]

    Documents Published: 31/03/2017 Last modified: 06/03/2024
    The Skilled Person Panel consists of twelve lots, including: client assets;

  10. CryptoSprint outputs

    Focus areas Published: 11/05/2022 Last modified: 23/02/2023
    Learn more about our first policy-focused CryptoSprint events held in May and June 2022.