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Showing 151 to 160 of 4470 search results for conduct risk.

151. LIBOR: preparing for the end

     Speeches Published: 15/07/2019 Last modified: 15/07/2019
     Speech by Andrew Bailey, Chief Executive of the FCA, at the Securities Industry and Financial Markets Association's (SIFMA) LIBOR Transition Briefing in New York, USA.

152. New appointments for governance of Financial Conduct Authority

     Press Releases Published: 19/03/2013 Last modified: 29/03/2013
     Three new Chairmen have been appointed to the independent Panels which lead the process for constructive challenge of the Financial Conduct Authority’s (FCA’s) policies and practices from the point of view of regulated firms.

153. Sample business plan

     Firm authorisation Published: 25/10/2023 Last modified: 25/10/2023
     If you're applying to be authorised by the FCA, learn what to include in your regulatory business plan (RBP).

154. Market Watch 68

     Newsletters Published: 16/11/2021 Last modified: 19/11/2021
     In this Market Watch we discuss web-based trading platforms, which are widely used for Rates and Fixed Income products and share our concerns about gaps in users’ surveillance of web-based platform activity.

155. Looking ahead to 2014

     Speeches Published: 09/12/2013 Last modified: 09/12/2013
     Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.

156. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     that underpinned them and the controls that failed to identify or manage the risks they created. ... We have heard from firms and industry bodies that fines and the focus on conduct has helped them maintain momentum in strengthening the conduct risk

157. The commercial importance of culture to industry

     Speeches Published: 02/12/2014 Last modified: 02/12/2014
     What would a conduct risk appetite look like: no more than two attempts to manipulate global benchmarks? ... Clearly a statement of conduct risk appetite on this model does not work.

158. Credit unions carrying out consumer credit activities

     Tasks for firms Published: 16/11/2015 Last modified: 03/04/2024
     Find out how to notify the FCA or apply for permission to carry out Conditional Sale, Hire Purchase or other types of consumer credit activity.

159. Asset management: A regulatory perspective

     Speeches Published: 26/04/2018 Last modified: 26/04/2018
     Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference.

160. Our investigations – the evolving approach

     Speeches Published: 15/06/2017 Last modified: 15/06/2017
     Speech by Jamie Symington, Director of Investigations at the FCA, at the Legal Week Banking Litigation and Regulation Forum.