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Showing 131 to 140 of 4466 search results for conduct risk.

131. Transforming culture in financial services

     Speeches Published: 19/03/2018 Last modified: 19/03/2018
     Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.

132. Apply to become a consumer investments firm

     Firm authorisation Published: 09/11/2023 Last modified: 19/12/2023
     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.

133. 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

134. Submit a change in control notification

     Tasks for firms Published: 12/10/2019 Last modified: 13/12/2023
     Find out how to prepare your notification and understand what happens after you submit it.

135. Supervision of authorised funds

     Tasks for regulated firms Published: 11/05/2015 Last modified: 14/02/2023
     Information on how our supervision of UK authorised funds protects investors and maintains a competitive market environment.

136. Building on experience

     Speeches Published: 17/04/2013 Last modified: 01/07/2013
     Speech by Martin Wheatley, Chief Executive, the FCA, at 'The future of financial services', Lansons, London.

137. The journey to a sustainable credit market

     Speeches Published: 26/03/2015 Last modified: 26/03/2015
     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the Credit Summit. This is the text of the speech as drafted, which may differ from the delivered version.

138. Consumer investments data review 2020

     Data Published: 18/01/2021 Last modified: 13/06/2023
     A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020.

139. FCA publishes rules on retirement risk warnings

     Press Releases Published: 27/02/2015 Last modified: 27/02/2015
     The new personalised 'risk warnings' must now be given to customers when they contact a firm to access their pension savings. ... Firms should consider a number of issues when designing appropriate risk warnings, for example:.

140. Market Watch 78

     Newsletters Published: 09/04/2024 Last modified: 09/04/2024
     Newsletter on market conduct and transaction reporting issues, March 2024.