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Showing 71 to 80 of 1113 search results for conduct risk roadshow.

  1. Market Watch 77

    Newsletters Published: 14/02/2024 Last modified: 14/02/2024
    Newsletter on market conduct and transaction reporting issues, February 2024.

  2. CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients [pdf]

    Consultation papers Published: 06/12/2016
    This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks.

  3. 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.

  4. Copy trading

    Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
    Copy trading allows investors to trade by automatically copying another investor's trades, and this is often classed as portfolio or investment management.

  5. FSA - Retail Conduct Risk Outlook 2012 [pdf]

    Business plans Published: 12/03/2012 Last modified: 31/05/2013
    The Retail Conduct Risk Outlook (RCRO) presents our view of the 15 highest priority conduct risk areas that we believe require particularly careful firm and regulatory focus over the next 12-18 months.

  6. Leadership and conduct

    Speeches Published: 31/03/2014 Last modified: 31/03/2014
    Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Principles of good regulation

    About us How we regulate Published: 21/04/2016 Last modified: 07/07/2016
    We must consider the principles of good regulation when carrying out our work. And regulated firms must adhere to the principles for businesses, which are their fundamental obligations as set out in our Handbook.

  8. FSA - GC11/30 [pdf]

    Guidance consultations Published: 07/12/2011 Last modified: 11/07/2016
    The purpose of the guidance is to set out to firms our expectations of NEDs in delivering the appropriate management of retail conduct risk within firms. By retail conduct risk, we mean the risk of a firm treating its retail customers unfairly and

  9. Market Watch 66

    Newsletters Published: 11/01/2021 Last modified: 22/01/2021
    In this Market Watch, we set out our expectations for firms on recording telephone conversations and electronic communications when alternative working arrangements are in place, including increased homeworking.

  10. Regulated covered bonds

    Firms Regulated markets Published: 13/05/2016 Last modified: 08/02/2023
    Covered bonds are a type of secured bond usually backed by mortgages or public sector loans. Read about the UK regulated covered bonds regime.