Search results
Showing 21 to 30 of 1320 search results for Wholesale Conduct Risk.
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Attestations
How and why we use attestations as a supervisory tool. -
2022 fines
Enforcement fines published in 2022. -
Wholesale markets firm applicants
If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first. -
Market Watch 76
Newsletter on market conduct and transaction reporting issues, October 2023. -
About the FCA
The FCA regulates the conduct of nearly 45,000 businesses in the UK to ensure that financial markets work well. Find out more about our role. -
Evolving the FCA's approach to markets regulation
Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version. -
Regulating in a recovery
Speech by John-Griffith Jones, FCA Chairman, at the CASS Business School, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
The Future of the City
Speech by Andrew Bailey, Chief Executive of the FCA, at the Future of the City dinner. -
A Better View
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017