Search results

Showing 111 to 120 of 217 search results for its Internal Audit Report.

111. 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

112. Money laundering and terrorist financing

     Focus areas Published: 02/08/2015 Last modified: 21/02/2023
     Find out more about the regulations and risk-based approach to anti-money laundering.

113. Market abuse in a time of coronavirus

     Speeches Published: 12/10/2020 Last modified: 12/10/2020
     Julia Hoggett speaking on market abuse at the Ciy & Financial Global event.

114. Cryptoassets: AML / CTF regime - Registering with the FCA

     Published: 22/03/2023 Last modified: 31/01/2024
     You must register with us if you want to provide cryptoasset services that come within the scope of money laundering regulations. Find out if this applies to you and how to register.

115. 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.

116. Consumer Credit and the FCA: one year on

     Speeches Published: 11/03/2015 Last modified: 11/03/2015
     product business models, its reward structures and the like – in order to drive the most effective policy making decisions. ... Indeed, we today published a report into the impact of annual summaries, text alerts and mobile banking apps in the personal

117. Credit transfers and direct debits in euro (SEPA)

     Tasks for regulated firms Published: 05/01/2016 Last modified: 10/02/2023
     Payment service providers (PSPs) carrying out credit transfers or direct debits in euro, may be subject to specific requirements under the SEPA Regulation.

118. Primary Market Bulletin 42

     Newsletters Published: 12/12/2022 Last modified: 12/12/2022
     In this edition we cover areas including climate related disclosures, the National Security and Investment Act, unlawful disclosure by Sir Christopher Gent and rules and guidance for cash shells and SPACS on reverse takeovers.

119. The growth of the UK credit card market

     Speeches Published: 03/04/2014 Last modified: 03/04/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at Credit Today's Credit Summit, London. This is the text of the speech as drafted, which may differ from the delivered version.

120. Primary Market Bulletin 44

     Newsletters Published: 20/03/2023 Last modified: 20/03/2023
     This edition covers diversity and inclusion, when a prospectus is required in Schemes of Arrangement and regulatory news with multimedia content.