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Showing 41 to 50 of 3194 search results for conduct%20risk.

  1. FCA seeks views on extending the implementation deadlines for the Certification Regime and Conduct Rules

    Press Releases Published: 17/07/2020 Last modified: 11/04/2024
    The FCA has published a consultation paper on making changes to its rules following the extension to the deadline by which FCA solo-regulated firms need to have implemented the Certification Regime.

  2. Wholesale markets firm applicants

    Firm authorisation Published: 04/07/2023 Last modified: 24/04/2024
    If you're a wholesale investment firm, you have to be authorised by us. Learn how to prepare your application and what you need to read first.

  3. Recognised industry codes

    About us How we regulate Published: 19/07/2018 Last modified: 10/02/2023
    The FCA's process for recognising industry codes of conduct for unregulated financial markets and activities.

  4. PS20/12: Extending implementation deadlines for the Certification Regime and Conduct Rules

    Policy statements Published: 28/10/2020 Last modified: 28/10/2020
    This Policy Statement (PS) sets out our final rules and summarises the feedback received to Consultation Paper CP 20/10 and our responses.

  5. Financial promotions data 2023

    Data Published: 14/02/2024 Last modified: 13/03/2024
    The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for 1 January 2023 to 31 December 2023.

  6. FCA welcomes the launch of industry code of conduct for ESG ratings and data products providers

    News stories Published: 14/12/2023 Last modified: 14/12/2023
    The International Capital Market Association (ICMA) and the International Regulatory Strategy Group (IRSG) have launched a voluntary code of conduct for Environmental, Social and Governance (ESG) ratings and data products providers.

  7. Our approach to supervision

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public.

  8. FCA outcomes and metrics

    Data Published: 02/04/2022 Last modified: 12/03/2024
    The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them.

  9. Primary Market Bulletin 46

    Newsletters Published: 19/12/2023 Last modified: 19/12/2023
    This edition covers Article 10 UK MAR and ESG stewardship  and TCFD-aligned disclosures: sponsor procedures.

  10. Regulatory Initiatives Grid

    Corporate documents Published: 30/11/2023 Last modified: 30/11/2023
    The Financial Services Regulatory Initiatives Forum was launched to strengthen coordination between members. This is the latest planned regulatory initiatives for the next 24 months.