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Showing 22 to 31 of 259 search results for Dear CEO letter to all.

22. Chief Executive

    Understand the key responsibilities of our Chief Executive

23. Review of principal firms in the investment management sector

    Multi-firm reviews Published: 20/05/2019 Last modified: 20/05/2019
    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

24. CFD firms fail to meet our expectations on appropriateness assessments

    Multi-firm reviews Published: 29/06/2017 Last modified: 29/06/2017
    Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms.

25. Conduct risk during LIBOR transition

    Firms Focus areas Markets Markets policy Published: 19/11/2019 Last modified: 09/01/2023
    Questions and answers for firms on conduct risk during LIBOR transition.

26. 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

27. FCA Prudential Supervision Forum

    News stories Published: 21/05/2015 Last modified: 30/03/2018
    Dear Chair of the Board Letter - Governance compliance review (PDF). ... Dear CEO Letter -FCA’s prudential approach for IFPRU Investment Firms (PDF).

28. Supervisory correspondence

    About us How we regulate Published: 23/07/2020 Last modified: 31/05/2022
    Find out how we communicate with the firms we supervise.

29. 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.

30. 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.

31. Brexit resources

    Focus areas Published: 09/03/2018 Last modified: 12/08/2022
    This page lists our news and statements, speeches, publications and other pages related to Brexit.

32. Safeguarding arrangements of non-bank payment service providers

    Multi-firm reviews Published: 04/07/2019 Last modified: 04/07/2019
    In the first 6 months of 2019 we carried out a multi-firm review with 11 non-bank payment service providers (PSPs) to assess how well they meet the requirements for safeguarding service users’ funds in the Payment Services Regulations 2017 (PSRs)