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Showing 31 to 40 of 214 search results for its Internal Audit Report.
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A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
Coronavirus and safeguarding customers’ funds: proposed guidance for payment firms
Short consultation proposing additional temporary guidance to strengthen payment firms’ prudential risk management and arrangements for safeguarding customers’ funds in light of the exceptional circumstances of the coronavirus pandemic -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
Supporting material for applications by consumer credit, mortgage and other consumer finance firms
If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything. -
Wholesale banks and asset management cyber multi-firm review findings
In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These -
Understanding approaches to D&I in financial services
The FCA observed how financial services firms are designing and embedding diversity and inclusion strategies. The observations give an overview of initiatives to improve diversity and inclusion, which industry leaders can consider in reviewing their -
May 2014: Internal Audit report: Supervisory Oversight Function (SOF) [pdf]
This document was submitted to the Treasury Committee on 6 July 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury -
May 2014: Internal Audit report: The UK Listing Authority [pdf]
This document was submitted to the Treasury Committee on 6 July 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury -
March 2014: Internal Audit report: Risk management and the implementation of the first and second lines of defence [pdf]
This document was submitted to the Treasury Committee on 14 September 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury