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Showing 31 to 40 of 808 search results for ensure compliance with PSD2.

31. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    And, in many ways, what I have described as the role of the regulator mirrors the role of compliance. ... firms. But one of the biggest risks we collectively face is if we think that compliance alone is the answer.

32. FSA requires action of the HSBC Group

    Documents Published: 08/03/2013 Last modified: 15/08/2014
    The Financial Services Authority (FSA), as lead regulator for the HSBC Group globally, is taking action in relation to issues in respect of HSBC’s compliance with anti-money laundering rules and US sanctions requirements.

33. INSIGHT | Articles

    Insight Published: 17/03/2016 Last modified: 04/07/2017
    Published: 16 December 2016. Understanding the social and psychological influences on decision making is important to improving regulatory compliance, according to FCA economist Peter Lukacs. ... Published: 17 March 2016. Leaps forward in economic theory

34. Locums and other outside support: sole advisers

    Tasks for regulated firms Published: 11/05/2015 Last modified: 31/01/2023
    As a sole adviser, find out how a locum or outside support can help your business.

35. Client assets and coronavirus (Covid-19)

    Firms Tasks for regulated firms Published: 06/04/2020 Last modified: 13/02/2023
    Summary of queries we have received and our position on client assets (CASS) compliance related to the current disruption caused by coronavirus (Covid-19).

36. Final Notice 2022: Stephen John Tomlin [pdf]

    Final notices Published: 06/10/2022
    This Final Notice (Stephen John Tomlin) refers to breaches of APER 7 and APER 6 related to the failure to ensure compliance oversight and compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article

37. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    The PSR will have objectives to promote competition and innovation, and to ensure responsiveness to consumer needs. ... Compliance plays a key role but as a facilitator and a guide – not as the answer.

38. Sample business plan

    Firm authorisation Published: 25/10/2023 Last modified: 25/10/2023
    If you're applying to be authorised by the FCA, learn what to include in your regulatory business plan (RBP).

39. FSA - FG11/16: Template for self-assessment of compliance with Remuneration Code [doc]

    Finalised guidance Published: 05/10/2011 Last modified: 20/10/2014
    All firms within the scope of the Remuneration Code (the Code) are expected to ensure that their remuneration policies, practices and procedures are clear and documented.

40. 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.