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Showing 41 to 50 of 4422 search results for conduct risk.

41. Overview of the FCA prudential approach

    Speeches Published: 21/05/2015 Last modified: 21/05/2015
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version.

42. Regulating in a recovery

    Speeches Published: 13/11/2014 Last modified: 13/11/2014
    Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version.

43. FSA - Retail Conduct Risk Outlook 2012 [pdf]

    Business plans Published: 12/03/2012 Last modified: 31/05/2013
    The Retail Conduct Risk Outlook (RCRO) presents our view of the 15 highest priority conduct risk areas that we believe require particularly careful firm and regulatory focus over the next 12-18 months.

44. FSA - GC11/30 [pdf]

    Guidance consultations Published: 07/12/2011 Last modified: 11/07/2016
    The purpose of the guidance is to set out to firms our expectations of NEDs in delivering the appropriate management of retail conduct risk within firms. By retail conduct risk, we mean the risk of a firm treating its retail customers unfairly and

45. UK EMIR

    Markets Markets policy Published: 23/05/2016 Last modified: 10/01/2023
    The UK European Market Infrastructure Regulation (UK EMIR) covers derivatives, central counterparties and trade repositories. Find out how it applies to your firm.

46. Good conduct and market integrity

    Speeches Published: 02/06/2014 Last modified: 11/06/2014
    Speech by Martin Wheatley, CEO, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

47. 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.

48. Market Watch 75

    Newsletters Published: 31/10/2023 Last modified: 31/10/2023
    Newsletter on market conduct and transaction reporting issues, October 2023.

49. How to find us

    Last modified: 11/08/2021
    We are located in Stratford and accessible by train, tube, car or bus. Our map shows the route from Stratford Station to the FCA building.

50. Market Watch 76

    Newsletters Published: 30/01/2024 Last modified: 31/01/2024
    Newsletter on market conduct and transaction reporting issues, October 2023.