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Showing 51 to 60 of 1113 search results for conduct risk roadshow.

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

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    We begin the 5 Conduct Questions approach with the question: how do firms identify the conduct risk inherent within their business? ... Do firms think appropriately about the conduct risks that exist in holding inside information?

  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. Cracking down on misleading credit brokers

    About us What we do Published: 17/02/2023 Last modified: 17/02/2023
    The FCA researched different types of investors to decide the best techniques to reach different groups with the InvestSmart campaign.

  4. Primary Market Bulletin 34

    Newsletters Published: 24/06/2021 Last modified: 09/07/2021
    This edition consults on changes we propose to make to our Knowledge Base in relation to the prospectus regime.

  5. Bank of England and Financial Conduct Authority appoint new Chair of the Sterling Risk Free Reference Rates Working Group

    Press Releases Published: 20/11/2018 Last modified: 20/11/2018
    The Bank of England and Financial Conduct Authority (FCA) have today announced the appointment of Tushar Morzaria as the new Chair of the Sterling Risk Free Reference Rates Working Group (the Working Group). Tushar has been the Chief Financial

  6. 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

  7. 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.

  8. Sensitive business names

    Tasks for firms Published: 13/09/2015 Last modified: 03/05/2024
    See a list of sensitive words relating to financial services and learn how to request our view if you propose to use of any of these terms in your business name.

  9. Remuneration

    Tasks for regulated firms Published: 08/05/2015 Last modified: 07/03/2023
    Find the remuneration rules from the FCA

  10. Committees

    About us Who we are Published: 06/04/2016 Last modified: 30/04/2024
    The FCA Board has several committees to which it delegates certain function/powers.