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Showing 51 to 60 of 326 search results for establish.

51. 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.

52. 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.

53. MoU between the FSA and Nebraska State Insurance Department [pdf]

    Memorandums of understanding Published: 22/01/2009 Last modified: 30/05/2013
    The puprose of this Memorandum of Understanding is to establish a formal basis for co-operation, including the exchange of information and investigative assistance.

54. MoU between the FSA and Guernsey Financial Services Commission [pdf]

    Memorandums of understanding Published: 29/07/2003 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.

55. Tackling the hard questions

    Speeches Published: 28/04/2016 Last modified: 18/01/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the Thomson Reuters Annual Compliance & Risk Summit on 26 April 2016, in London. This is the text of the speech as drafted, which may differ from the

56. Market Watch 68

    Newsletters Published: 16/11/2021 Last modified: 19/11/2021
    In this Market Watch we discuss web-based trading platforms, which are widely used for Rates and Fixed Income products and share our concerns about gaps in users’ surveillance of web-based platform activity.

57. MoU between the FSA and Gibraltar Financial Services Commission and the Financial Services Commissioner [pdf]

    Memorandums of understanding Published: 27/08/2004 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.

58. Digital regulatory reporting

    Tasks for regulated firms Focus areas Published: 01/11/2017 Last modified: 10/02/2023
    Digital Regulatory Reporting (DRR) is a joint initiative to make regulatory reporting more efficient and effective.

59. Fund tokenisation

    Published: 24/11/2023 Last modified: 26/03/2024
    We are working with industry to explore potential uses of fund tokensiation which could make collective investment schemes more efficient, transparent, and accessible to a wider range of consumers.

60. Memorandum of Understanding between the FCA and Synectics Solutions Limited [pdf]

    Memorandums of understanding Published: 03/04/2023
    This MoU establishes a framework for co-operation between the FCA and Synectics Solutions Limited.