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Showing 31 to 40 of 53 search results for compliance@fxopen.

  1. Senior management functions

    Tasks for regulated firms Published: 12/05/2015 Last modified: 08/12/2022
    Learn about senior management functions (SMFs) and how we assess them.

  2. Investment Firms Prudential Regime (IFPR)

    Firms Focus areas Published: 28/06/2021 Last modified: 10/04/2024
    The IFPR is our new prudential regime for MiFID investment firms. The regime came into force on 1 January 2022.

  3. Cyber resilience good practice for firms

    News stories Published: 19/12/2023 Last modified: 19/12/2023
    The FCA, Bank of England and Prudential Regulation Authority have published the latest annual CBEST thematic report.

  4. Assessing and monitoring consultants

    Tasks for regulated firms Published: 09/05/2015 Last modified: 31/01/2023
    Make sure potential consultants can offer the service you need. We provide good and poor practice examples.

  5. Creating and sustaining cultures of compliance: insights from psychology and beyond

    Insight Published: 16/12/2016 Last modified: 17/02/2017
    regulators could be missing a trick when it comes to improving effective compliance. ... For example, by highlighting individual penalties the deterrent becomes more vivid in people’s minds and so assists compliance.

  6. Information on anti-money laundering (AML)

    FOI Release Date of Release: 20/08/2021
    The FCA responds to request for information on anti-money laundering (AML)

  7. Compliance reporting: banks

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Find out more about reporting for banks, building societies and designated investment firms.

  8. Comparison of banking providers’ fraud controls

    Data Published: 09/03/2020 Last modified: 07/08/2020
    This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their

  9. Calibrating controls to build confident markets

    Speeches Published: 06/09/2023 Last modified: 06/09/2023
    Speech by Sarah Pritchard, Executive Director of Markets and International at the Financial Crime Summit 2023 by 1LoD.

  10. Information on compliance cases - October 2022

    FOI Release Date of Release: 10/10/2022
    FCA provides information on compliance cases opened in last 5 calendar years.