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Showing 91 to 100 of 555 search results for Sector Views.

91. TR14/19 – Wealth management firms and private banks – Conflicts of interest: in-house investment products

    Thematic reviews Published: 24/11/2014 Last modified: 07/02/2022
    Findings of our review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products (IHPs) in retail discretionary and advisory investment portfolios.

92. CP24/4: Further consultation on the regulatory framework for pensions dashboard service firms

    Consultation papers Published: 27/03/2024 Last modified: 27/03/2024
    We are consulting on new guidance for firms undertaking this new activity and 2 changes to the rules we originally proposed in CP22/5.

93. Occasional Paper No. 18: Market-Based Finance: Its Contributions and Emerging Issues

    Occasional papers Published: 26/05/2016 Last modified: 02/09/2016
    Properly regulated and supervised MBF can contribute to a dynamic and competitive financial services sector, develop new and innovative products to meet customers’ needs. ... While they may not necessarily represent the position of the FCA, they are

94. Consumer Duty: Findings from our review of fair value frameworks

    Good and poor practice Published: 10/05/2023 Last modified: 17/11/2023
    Read the findings of our review into firms’ approaches to fair value assessments under the Consumer Duty.

95. GC13/3 Examples of good and poor practice in ‘Banks’ control of financial crime risks in trade finance’

    Guidance consultations Published: 02/07/2013 Last modified: 07/02/2022
    This proposed guidance relates to the following rule(s) in the FCA Handbook.

96. FS20/12: Intergenerational differences: summary of responses and next steps

    Feedback statements Published: 02/05/2019 Last modified: 06/08/2020
    This feedback statement sets out our approach following the discussion paper on intergenerational differences we published last year.

97. Understanding approaches to D&I in financial services

    Multi-firm reviews Published: 12/12/2022 Last modified: 13/12/2022
    The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their

98. FCA response to FSB’s Super-Complaint - requiring personal guarantees for business loans

    Corporate documents Published: 05/03/2024 Last modified: 05/03/2024
    On 08 December 2023, we received a super-complaint from the Federation of Small Businesses (FSB). This is the first super-complaint we have received since the super-complaint regime was applied to the FCA in 2013.

99. FS16/2: Feedback Statement on Call for Input: Regulatory barriers to innovation in digital and mobile solutions

    Feedback statements Published: 09/03/2016 Last modified: 09/03/2016
    As a result, digital technology is becoming integrated in all sectors of the economy. ... applying digital solutions has become a top priority in the public sector in the UK and in the EU.

100. Consumer Duty implementation: good practice and areas for improvement

     Good and poor practice Published: 20/02/2024 Last modified: 22/02/2024
     What firms are doing well and what they could do better.