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Showing 12 to 21 of 279 search results for Dear CEO Letter.

12. Chief Executive

    Understand the key responsibilities of our Chief Executive

13. Information for firms on motor finance complaints 

    Consumer credit firms Published: 24/01/2024 Last modified: 12/04/2024
    Guidance for firms affected by the FCA's review into the historical use of discretionary commission arrangements (DCAs) in the motor finance industry.

14. Expectations of firms selling client banks

    Firms Published: 19/12/2023 Last modified: 19/12/2023
    In the FCA's view, the client bank is the firm’s asset. It will act where these lists are being sold with redress liabilities.

15. Dear CEO Letter: The retention of interest earned on customers’ cash balances [pdf]

    Correspondence Published: 12/12/2023
    Dear CEO Letter: The retention of interest earned on customers’ cash balances.

16. FCA writes to firms about the treatment of retained interest on customers’ cash balances

    Press Releases Published: 12/12/2023 Last modified: 12/12/2023
    The Financial Conduct Authority (FCA) has today written to investment platforms and SIPP operators setting out its concerns on the way they deal with any interest earned on customers’ cash balances.

17. Capital deduction for redress: personal investment firms [pdf]

    Correspondence Published: 29/11/2023
    Our Dear CEO letter as part of our consultation.

18. CP23/24: Capital deduction for redress: personal investment firms

    Consultation papers Published: 29/11/2023 Last modified: 25/03/2024
    We are consulting on proposals to require personal investment firms (PIFs) to be more prudent and set aside capital for potential redress liabilities at an early stage

19. Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds

    Multi-firm reviews Published: 16/11/2023 Last modified: 16/11/2023
    We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and

20. Apply to become a consumer credit broker

    Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
    Find out how to apply to the FCA for authorisation if you want to engage in regulated activities as a consumer credit broker.

21. Apply to become a consumer credit lender or hirer

    Firm authorisation Published: 15/11/2023 Last modified: 16/11/2023
    Find out how to apply to the FCA for authorisation If you want to engage in regulated activities as a lender or hirer.

22. Dear CEO letter: FCA expectations for wealth management & stockbroking firms [pdf]

    Correspondence Published: 08/11/2023
    Portfolio letter to firms as a result of the PSF.