Search results

Showing 1 to 10 of 694 search results for establish and maintain.

1. Insights from the Cyber Coordination Groups

   Research notes Published: 11/03/2020 Last modified: 09/04/2024
   Insights from the Cyber Coordination Groups

2. 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.

3. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

   Press Releases Published: 09/08/2016 Last modified: 06/03/2017
   The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

4. Independent Governance Committees

   Tasks for regulated firms Published: 23/02/2016 Last modified: 09/02/2023
   Read about the FCA rules for workplace personal pension schemes and Independent Governance Committees (IGCs).

5. Anti-money laundering Annual report 2018/19 [pdf]

   Corporate documents Published: 09/07/2019
   The FCA strives to make the UK’s financial sector a tough target by ensuring that the firms it regulates establish and maintain effective systems and controls for countering the risk of being exploited by criminals.

6. 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.

7. 2014 fines

   News stories Published: 02/01/2014 Last modified: 31/08/2016
   This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

8. 2013 fines

   News stories Published: 02/01/2013 Last modified: 26/03/2024
   Fines published during the calendar year ending December 2013.

9. FCA and ICO publish joint update on GDPR

   Statements Published: 08/02/2018 Last modified: 13/02/2018
   The Financial Conduct Authority (FCA) and the Information Commissioners Office (ICO) have today published an update on the EU General Data Protection Regulation (GDPR).

10. Our Annual Report and Accounts 2018/19

    Corporate documents Annual reports Published: 09/07/2019 Last modified: 09/09/2020
    The Annual Report and Accounts 2018/19 shows how the FCA's work over the last year has met its objectives and delivered the key priorities in its Business Plan 2018/19.