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Showing 41 to 50 of 324 search results for establish.

41. Data security

    Tasks for regulated firms Published: 31/07/2015 Last modified: 21/02/2023
    You are responsible for securing your customer data and protecting it from fraudsters. Read more about the measures you should consider.

42. MoU between the FSA and the Financial Industry Regulatory Authority, Inc. (FINRA) [pdf]

    Memorandums of understanding Published: 15/09/2010 Last modified: 30/05/2013
    The purpose of this MoU is to establish a formal basis for co-operation, including the exchange of information and investigative assistance. Memorandum of understanding.

43. Balance of interests

    Speeches Published: 26/06/2013 Last modified: 18/01/2017
    Speech by Martin Wheatley, Chief Executive, the FCA, at the International Derivatives Expo, London. This is the text of the speech as drafted, which may differ from the delivered version.

44. MoU between the FCA and the Republic of Korea Financial Supervisory Commission, Securities and Futures Commission and the Financial Supervisory Service [pdf]

    Memorandums of understanding Published: 10/03/2014 Last modified: 10/03/2014
    The purpose of this Memorandum of Understanding is to establish a formal basis for co-operation, including the exchange of public and non-public information and investigative assistance.

45. MoU between the FSA and the New York State Banking Department [pdf]

    Memorandums of understanding Published: 01/05/1998 Last modified: 30/05/2013
    The New York State Banking Department and the Bank of England have reached the following understanding in order to establish an arrangement for the sharing of supervisory information to facilitate the performance of their respective duties.

46. MoU between the Bank, including the PRA, HM Treasury and FCA re: International Organisation [pdf]

    Memorandums of understanding Published: 01/04/2013 Last modified: 23/07/2013
    The International Organisations MoU sets out how the UK authorities will co-ordinate their senior level engagement with EU and international committees and organisations. The principles in the MoU should also apply to relationships between the

47. MoU between the FSA and Jersey Financial Services Commission [pdf]

    Memorandums of understanding Published: 16/04/2004 Last modified: 30/05/2013
    The purpose of this Memorandum of Understanding is to establish a formal basis for co-operation, including the exchange of the information and investigative assistance.

48. MoU between the FSA and Mexico Comision Nacional Bancaria y de Valores [pdf]

    Memorandums of understanding Published: 04/11/2003 Last modified: 30/05/2013
    The purpose of this Memorandum of Understanding is to establish a formal basis for co-operation, including the exchange of the information and investigative assistance.

49. Knowing your customer and assessing their needs

    Tasks for regulated firms Published: 21/12/2015 Last modified: 21/02/2023
    If you provide financial advice to retail clients, it's important to assess each customer's needs before making recommendations. We explain what you should consider.

50. MoU between the FSA and Bermuda Monetary Authority [pdf]

    Memorandums of understanding Published: 21/04/2004 Last modified: 30/05/2013
    The purpose of this Memorandum of Understanding is to establish a formal basis for co-operation, including the exchange of the information and investigative assistance.