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Showing 161 to 170 of 4473 search results for conduct risk.

161. 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.

162. Agreements with overseas regulators

     About us What we do Last modified: 17/12/2021
     See the Memoranda of Understanding (MoUs) and other agreements we have with overseas regulators.

163. 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 conduct put approximately 26,750 customers at risk of poor outcomes, including the risk of receiving

164. Our approach to supervision

     Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
     Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public.

165. Business Plan 2024/25

     Business plans Published: 19/03/2024 Last modified: 09/04/2024
     Our Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy.

166. Financial promotions quarterly data 2022 Q4

     Data Published: 03/02/2023 Last modified: 05/05/2023
     We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 October 2022 to 31 December 2022.

167. Dear CEO LIBOR letter

     Statements Published: 19/09/2018 Last modified: 19/09/2018
     On Wednesday 19 September, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) wrote to CEOs of major banks and insurers supervised in the UK asking for the preparations and ... The purpose of the letters is to seek assurance

168. Regulatory Sandbox

     Firms Published: 27/03/2022 Last modified: 09/05/2024
     The Regulatory Sandbox is for firms wanting to test new products live in the market with real consumers. Find out more about it and how to apply.

169. The fight against skimmers and scammers

     Speeches Published: 05/09/2019 Last modified: 05/09/2019
     Speech by Charles Randell, Chair of the FCA, delivered at the Cambridge Economic Crime Symposium.

170. Unstable coins: cryptoassets, financial regulation and preventing financial crime in the emerging market for digital assets

     Speeches Published: 06/03/2020 Last modified: 06/03/2020
     Speech delivered by Therese Chambers, Director of Retail and Regulatory Investigations at the FCA, on cryptoassets.