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Showing 141 to 150 of 3208 search results for conduct%20risk.

  1. 5 Conduct Questions: Industry Feedback for 2016 [pdf]

    Market studies Published: 01/05/2018
    The 5 Conduct Questions are part of the FCA's strategy for supervising wholesale banks. This 2016 industry feedback is to help large and small firms consider if any of the approaches to conduct may be effective in their own organisations.

  2. 5 Conduct Questions: Industry Feedback for 2017 [pdf]

    Market studies Published: 01/05/2018
    The 5 Conduct Questions are part of the FCA's strategy for supervising wholesale banks. This 2017 industry feedback is to help large and small firms consider if any of the approaches to conduct may be effective in their own organisations.

  3. Remuneration

    Tasks for regulated firms Published: 08/05/2015 Last modified: 07/03/2023
    Find the remuneration rules from the FCA

  4. 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.

  5. MiFID II Conduct Forum, April 2016: presentation [pdf]

    Systems information Published: 10/05/2016 Last modified: 04/08/2016

  6. Event costs

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

  7. 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.

  8. Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited

    Press Releases Published: 27/09/2018 Last modified: 27/09/2018
    The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of

  9. Funeral plan providers - quarterly conduct review [pdf]

    Consultation papers Published: 02/03/2021
    Quarterly conduct review (FP001).

  10. Loan-based crowdfunding platforms: summary of our rules

    New firm authorisation Published: 11/05/2015 Last modified: 13/08/2021
    The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities.