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Showing 21 to 30 of 214 search results for its Internal Audit Report.
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2019 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. -
Speech: Culture in UK banking – regulatory priorities
Moreover, financial innovation is needed to support technological change and its related economic growth. ... and, indeed, in firms’ own internal monitoring) this is often attempted by aiming to create ‘credible deterrence’.This could mean raising -
Asset management portfolio tools
This report sets out our review findings of how firms in the asset management sector selected and used risk modelling and other portfolio management tools. -
Insights from the Cyber Coordination Groups
Insights from the Cyber Coordination Groups -
The FCA fines Rabobank £105 million for serious LIBOR-related misconduct
In April 2009, a JPY LIBOR submitter informed Rabobank’s internal audit group that his submissions were based on direct instructions from traders, yet the bank failed to address the issue. ... On 28 September 2012, the Wheatley Review published its -
FCA sets out approach to Non-Executive Directors and the Senior Managers Regime
This includes a requirement for firms to appoint a whistleblowers’ champion, who will be responsible for overseeing the effectiveness of internal whistleblowing arrangements, preparing an annual report to the board on ... The importance of robust -
General insurance pricing attestation multi-firm review
Assessing how firms satisfied themselves that they do not systematically discriminate against motor and home insurance customers based on the number of years they have held their policy, including any renewal (tenure). -
Alternative investment fund manager (AIFM) hosting
Information for AIFMs using the host model to manage alternative investment funds (AIFs), known as AIFM hosting. -
Financial crime controls at challenger banks
Ensuring the firms we regulate are effective in preventing financial crime, such as money laundering and sanctions evasion, remains a key priority. This includes testing the financial crime controls of new business models as they enter the UK -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.