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Showing 31 to 40 of 1320 search results for Wholesale Conduct Risk.
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The regulatory challenge
That is not about box-ticking or wholesale de-risking. It is about firms getting the basics right – understanding their customers, the risks they pose, and managing those risks proportionately and ... The good news is that the issues we care about, -
Sustainability
For too long, managing conduct risks has been seen as a function for compliance and not the responsibility of the business. ... the risk of any adverse impact the incentives may have on staff behaviour. -
Independence, confidence and fairness
Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Fair treatment of customers
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. -
Tackling the hard questions
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the -
Future into focus
Speech by Martin Wheatley, Chief Executive, the FCA, at the International Swaps and Derivatives Association (ISDA) conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
2016 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. -
The technology challenge
Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version. -
A sustainable conduct environment
Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Business Plan 2021/22
Our Business Plan 2021/22 explains how we see our future role and priorities, how we intend to deliver them and how we will measure our performance.