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Showing 81 to 90 of 1610 search results for and advice.

81. Portfolio letter: FCA Supervisory strategy for the Debt Advice portfolio [pdf]

    Correspondence Published: 27/06/2022
    The FCA updates debt advice firms on the key risks they pose, outlining its expectations of how these risks should be mitigated, and sets out a supervisory strategy to ensure that firms meet its expectations.

82. Appropriate Examinations: Mortgage Advice [pdf]

    Documents Published: 19/01/2009 Last modified: 03/08/2016
    Standards for Appropriate Examinations for those advising a customer on a regulated mortgage contract

83. FSA - Management Information: Does it show the full picture? [pdf]

    Archive Published: 05/12/2007 Last modified: 03/08/2016
    The documents records some good and poor practices we have found.

84. Implementing the Consumer Duty for the Debt Advice portfolio [pdf]

    Correspondence Published: 21/02/2023
    Consumer Duty letter for the Debt Advice portfolio

85. 5 questions to ask before you invest

    InvestSmart Last modified: 07/09/2023
    To help you make better decisions, take time to understand both the opportunities and risks of any investment you’re considering.

86. Investor protection under MiFID II

    Speeches Published: 20/10/2015 Last modified: 20/10/2015
    Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

87. UK EMIR news

    Markets policy Published: 23/05/2016 Last modified: 02/05/2024
    Read our archive of news relating to EMIR dating back to August 2013.

88. Whistleblowing

    Last modified: 13/03/2023
    If you think a firm or individual is involved in wrongdoing in an area we regulate, you can make a report to us in confidence.

89. Debt advice firms portfolio letter [pdf]

    Correspondence Published: 23/07/2020
    Our view of key risks debt advice firms pose to their consumers or the markets in which they operate, our expectations, and our supervisory strategy and programme of work

90. Defined Benefit Advice Assessment Tool (DBAAT)

    Published: 19/06/2023 Last modified: 20/09/2023
    The FCA Defined Benefit Advice Assessment Tool (DBAAT) helps the market understand how they assess the suitability of Defined Benefit (DB) pension transfer and related investment advice and disclosures.