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Showing 21 to 30 of 1647 search results for Retail Conduct Risk.

  1. Creating a fair and competitive environment for retail banking in the interests of consumers

    Speeches Published: 26/11/2014 Last modified: 26/11/2014
    Speech by Karina McTeague, Director of Retail Banking, the FCA. This is the text of the speech as drafted, which may differ from the delivered version.

  2. FCA statement on selling high-risk speculative investments to retail clients following ESMA’s action on CFD products

    Statements Published: 01/08/2018 Last modified: 01/08/2018
    FCA statement on selling high-risk speculative investments to retail clients following ESMA’s action on CFD products. ... leverage. ESMA’s recent Q&A on its product intervention also highlighted these risks.

  3. The Financial Conduct Authority publishes review into delivering ‘independent’ financial advice following the implementation of the Retail Distribution Review

    Press Releases Published: 20/03/2014 Last modified: 20/03/2014
    The Financial Conduct Authority publishes review into delivering ‘independent’ financial advice following the implementation of the Retail Distribution Review. ... Nick Poyntz-Wright, director of long-term savings and pensions at the Financial

  4. CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients [pdf]

    Consultation papers Published: 06/12/2016
    This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks.

  5. Attestations

    About us How we regulate Published: 20/04/2016 Last modified: 06/04/2022
    How and why we use attestations as a supervisory tool.

  6. Event costs

    Last modified: 08/04/2024
    Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.

  7. Supervision

    About us How we regulate Published: 18/04/2016 Last modified: 13/12/2023
    Find out about the FCA's approach to supervising firms, including why we supervise and how we divide the financial sectors we regulate.

  8. Fair treatment of customers

    Tasks for regulated firms Published: 12/05/2015 Last modified: 15/02/2023
    All firms must be able to show consistently that fair treatment of customers is at the heart of their business model. Learn more about what is expected.

  9. 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.

  10. Cryptoassets: our work

    Focus areas Published: 23/01/2019 Last modified: 15/11/2023
    Learn more about our work on cryptoassets to ensure consumers are protected, market integrity is upheld, and competition works in the interest of consumers.