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Showing 71 to 80 of 280 search results for internal audit report.

71. FCA response to National Audit Office report

    Statements Published: 20/03/2019 Last modified: 20/03/2019
    FCA response to National Audit Office report. Statements First published:. 20/03/2019. ... The FCA welcomes today’s report by the National Audit Office -Regulating to protect consumers: Utilities, communications and financial services markets.

72. Primary Market Bulletin 40

    Newsletters Published: 27/05/2022 Last modified: 30/05/2022
    In this edition we provide feedback on our consultation in PMB 34 and highlight changes to the Knowledge Base on the prospectus regime as a result of the consultation.

73. External audit requirements for investment management firms, securities and futures firms and personal investment firms (not small)

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Read more about the external audit requirements for investment management firms, securities and futures firms, or personal investment firms (not small).

74. External audit requirements for mortgage intermediaries, lenders or administrators

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Learn more about the external audit requirements for mortgage intermediaries, lenders or administrators and what you need to do.

75. Financial crime

    Tasks for firms Published: 30/07/2015 Last modified: 11/03/2024
    Integrity of the UK's financial markets requires the FCA to ensure firms have effective systems and controls to detect, prevent and deter financial crime. Learn from good and poor examples and browse our guide to financial crime.

76. External audit requirements for small personal investment firms or service companies

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Learn more about the external audit requirements for small personal investment firms or service companies and what you need to do.

77. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

78. How we work

    About us Last modified: 19/03/2024
    Find out about the FCA Strategy 2022 to 2025, including our expectations for financial services over the next 3 years and how we'll measure our performance.

79. Climate Financial Risk Forum (CFRF)

    Firms Published: 11/08/2019 Last modified: 12/06/2023
    The Climate Financial Risk Forum (CFRF) brings together senior financial sector representatives to share their experiences in managing climate-related risks and opportunities.

80. Product sales data - 2022

    Data Published: 28/06/2023 Last modified: 28/06/2023
    The FCA collects data from the firms it regulates on what products they are selling. Firms operating in the mortgages, retail investments or protection sectors submit product transaction data to the FCA quarterly.