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Showing 21 to 30 of 1645 search results for conduct risk during.

  1. Chairman’s speech

    Speeches Published: 18/07/2013 Last modified: 18/07/2013
    Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Event costs

    Last modified: 08/04/2024
    Overall approximate costs for public events that we organise and publicise, from April 2013 onwards.

  3. 2021 fines

    News stories Published: 04/03/2021 Last modified: 17/12/2021
    This page contains information about enforcement fines published during the calendar year ending 2021.

  4. Market Watch 76

    Newsletters Published: 30/01/2024 Last modified: 31/01/2024
    Newsletter on market conduct and transaction reporting issues, October 2023.

  5. Client Money and Assets

    Tasks for regulated firms Published: 11/05/2015 Last modified: 10/02/2023
    CASS compliance is needed if you control client money. Learn more about CASS rules, when and how to classify your CASS firm and what to submit for your monthly CMAR report.

  6. CryptoSprint outputs

    Focus areas Published: 11/05/2022 Last modified: 23/02/2023
    Learn more about our first policy-focused CryptoSprint events held in May and June 2022.

  7. 2022 fines

    News stories Published: 28/02/2022 Last modified: 04/01/2023
    Enforcement fines published in 2022.

  8. Personal data and Financial Lives survey

    Last modified: 01/02/2024
    This privacy notice explains what personal data the FCA collects during the Financial Lives survey and how and why it uses the information as part of its regulatory work.

  9. LIBOR transition in the derivatives market

    Markets Published: 05/07/2021 Last modified: 13/03/2024
    FCA has worked alongside other regulators, trade associations and market participants to enable liquid markets in SONIA derivatives to help the transition from LIBOR

  10. Whistleblowing in practice: Case studies

    Firms Published: 21/10/2020 Last modified: 01/02/2024
    Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act and how the FCA protects other firms.
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