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Showing 71 to 80 of 1645 search results for conduct risk during.
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Journey towards a conduct regulator
Speech by Clive Adamson, Director of Supervision, the FSA at the Westminster Forum, London -
Proposed amendments to the Benchmarks Regulation
The Government’s has announced that it intends to bring forward legislation to amend the Benchmarks Regulation (BMR) to give us enhanced powers. -
Consumer Credit Seminar
Speech by Linda Woodall, Director of Mortgage and Consumer Lending of the FCA. -
Meeting the growth challenge
Speech by Martin Wheatley, Chief Executive, the FCA, at the British Insurance Brokers’ Association (BIBA) conference, ExCel Centre, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Recognised industry codes
The FCA's process for recognising industry codes of conduct for unregulated financial markets and activities. -
Business Plan 2023/24
The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy. -
Business Plan 2022/23
The FCA Business Plan details the work we'll do over the next 12 months to help deliver the commitments in our Strategy. -
The sponsor regime
Sponsors are firms we approve to advise premium listed companies on their obligations under the listing regime. Read more about the regime and being a sponsor. -
Financial promotions quarterly data 2023 Q4
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 October 2023 and 31 December 2023. -
Apply to become a consumer investments firm
Find out how to apply to the FCA for authorisation if you're a consumer investments firm, such as a financial adviser or investment platform.