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Showing 21 to 30 of 283 search results for dear ceo letters.

21. Dear CEO letter: Cryptoassets and financial crime [pdf]

    Correspondence Published: 11/06/2018
    The FCA writes to firms regarding good practice for how they should handle the financial crime risks posed by cryptoassets.

22. Dear CEO letter - Payment for Order Flow [pdf]

    Correspondence Published: 13/12/2017
    This letter sets out the FCA’s views on PFOF in the context of the evolving landscape under MiFID II, drawing attention to the new requirements and that the FCA will take strong action against firms that are identified breaching the new standards.

23. Dear CEO Letter: Funeral Plan Providers [pdf]

    Correspondence Published: 12/11/2021
    By 29 July 2022 all funeral plan providers and intermediaries must have appropriate authorisation to continue funeral plan activities.

24. Providers and distributors of contracts for difference (CFD) products: resolving failings which may cause significant consumer harm [pdf]

    Correspondence Published: 10/01/2018
    Following the conclusion of a project that assessed whether CFD providers and distributors deliver the CFD product to the intended target market, pay due regard to the interests of customers and treat them fairly, we have published a Dear CEO letter

25. Dear CEO letter: Second charge lenders and responsible lending [pdf]

    Correspondence Published: 01/03/2018
    As the CEO of an FCA-regulated firm, we are expecting you to conduct a review to assess whether your procedures and systems and controls are suitable to ensure that your firm is lending responsibly. Please make certain that you would be able to

26. Dear CEO letter: Thematic findings on the effectiveness of governance in credit rating agencies [pdf]

    Correspondence Published: 24/10/2022
    Dear CEO letter: Thematic findings on the effectiveness of governance in credit rating agencies.

27. Dear CEO letter: Firms’ preparations for transition from LIBOR to risk-free rates - banks [pdf]

    Correspondence Published: 19/09/2018
    The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) are writing to the CEOs of large banks and insurance companies regarding the ongoing global benchmark reform effort mandated by the Financial Stability Board (FSB),

28. Capital deduction for redress: personal investment firms [pdf]

    Correspondence Published: 29/11/2023
    Our Dear CEO letter as part of our consultation.

29. Dear CEO letter: transforming data collection [pdf]

    Correspondence Published: 23/02/2021
    This letter provides an update on the work we have done to transform the way that we collect data, and reaffirms our commitment to work in partnership to tackle the challenges we collectively face.

30. Feedback on the Dear CEO letter on LIBOR transition [pdf]

    Feedback statements Published: 05/06/2019