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Showing 141 to 150 of 283 search results for internal audit report.

141. Regulating high frequency trading

     Speeches Published: 04/06/2014 Last modified: 04/06/2014
     Speech by Martin Wheatley, CEO, the FCA, at the Global Exchange and Brokerage Conference, New York. This is the text of the speech as drafted, which may differ from the delivered version.

142. Consumer Duty: Not once and done

     Speeches Published: 01/11/2023 Last modified: 01/11/2023
     Speech by Nisha Arora, delivered at Deloitte: Consumer Duty - Next Steps

143. Whistleblowing qualitative assessment survey 2022

     Data Published: 04/05/2023 Last modified: 04/05/2023
     This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to

144. Service standards 2020/21

     Data Published: 15/07/2021 Last modified: 15/07/2021
     The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2020/21.

145. Consumer Duty implementation plans

     Focus areas Multi-firm reviews Published: 25/01/2023 Last modified: 25/01/2023
     The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed

146. Service standards 2018/19

     Data Published: 24/06/2019 Last modified: 24/06/2019
     The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2018/19.

147. Financial promotions quarterly data 2021 Q1

     Data Published: 05/04/2021 Last modified: 03/02/2022
     The FCA publishes data on the number of financial promotions that have been amended or withdrawn due to non-compliance with the FCA's rules, this data is for 2021 Q1.

148. Market Watch 73

     Newsletters Published: 26/04/2023 Last modified: 26/04/2023
     In this edition we share our observations and findings from our recent market abuse peer review into firms that offer Contracts for Difference products and spread bets.

149. Independent investigation into London Capital & Finance

     Last modified: 23/02/2023
     Read the report of the independent investigation into the events relating to the FCA’s regulation of London Capital & Finance (LCF) following the firm’s failure.

150. Prescribed Persons Annual Report 2022/23

     Data Published: 20/07/2023 Last modified: 20/07/2023
     The FCA is reporting on the whistleblowing disclosures made to it, under the Prescribed Persons Regulations 2017 covering April 2022 to 31 March 2023.