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Showing 72 to 81 of 238 search results for issued a Dear CEO letter.

72. Chief Executive

    Understand the key responsibilities of our Chief Executive

73. Dear CEO letter: adequate client assets arrangements [pdf]

    Correspondence Published: 30/09/2020 Last modified: 30/09/2020
    This letter highlights areas that are important to maintaining adequate client assets arrangements in the current environment.

74. Dear CEO letter: adequate client money arrangements – for general insurance intermediaries [pdf]

    Correspondence Published: 30/09/2020 Last modified: 30/09/2020
    For general insurance intermediaries, this letter highlights areas important to maintain adequate client money arrangements in the current environment.

75. Dear CEO Letter: ensure your customers understand how their money is protected [pdf]

    Correspondence Published: 18/05/2021
    Dear CEO Letter: ensure your customers understand how their money is protected.

76. Dear CEO letter: FCA expectations of claims management companies when they act for customers [pdf]

    Correspondence Published: 04/06/2019
    On 4 June 2019 we published a letter about what we expect of claims management companies when they act for customers. All CMCs must read the letter and comply with our rules.

77. Action required: review of Self Invested Personal Pensions (SIPP) operators [pdf]

    Correspondence Published: 21/07/2014 Last modified: 04/12/2015

78. Dear CEO Letter: Funeral Plan Providers [pdf]

    Correspondence Published: 12/11/2021
    By 29 July 2022 all funeral plan providers and intermediaries must have appropriate authorisation to continue funeral plan activities.

79. Dear CEO letter - Payment for Order Flow [pdf]

    Correspondence Published: 13/12/2017
    This letter sets out the FCA’s views on PFOF in the context of the evolving landscape under MiFID II, drawing attention to the new requirements and that the FCA will take strong action against firms that are identified breaching the new standards.

80. Dear CEO letter: Second charge lenders and responsible lending [pdf]

    Correspondence Published: 01/03/2018
    As the CEO of an FCA-regulated firm, we are expecting you to conduct a review to assess whether your procedures and systems and controls are suitable to ensure that your firm is lending responsibly. Please make certain that you would be able to

81. Providers and distributors of contracts for difference (CFD) products: resolving failings which may cause significant consumer harm [pdf]

    Correspondence Published: 10/01/2018
    Following the conclusion of a project that assessed whether CFD providers and distributors deliver the CFD product to the intended target market, pay due regard to the interests of customers and treat them fairly, we have published a Dear CEO letter

82. Dear CEO letter: Cryptoassets and financial crime [pdf]

    Correspondence Published: 11/06/2018
    The FCA writes to firms regarding good practice for how they should handle the financial crime risks posed by cryptoassets.