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Showing 61 to 70 of 214 search results for its Internal Audit Report.

61. RMA-C Client money and assets: FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/05/2021
    RMA-C Client money and assets.

62. Operational Resilience

    Tasks for firms Published: 17/05/2017 Last modified: 04/03/2024
    We set out the requirements of our policy and how to report an operational disruption.

63. Remote or hybrid working: FCA expectations for firms

    Tasks for regulated firms Published: 11/10/2021 Last modified: 13/02/2023
    It's likely many firms will continue new ways of working. The FCA sets out expectations so they can meet regulatory responsibilities.

64. Primary Market Bulletin 47

    Newsletters Published: 26/01/2024 Last modified: 26/01/2024
    This edition covers Short Selling Regulation and Credit Rating Agency UK Market Share Report for 2022

65. 2015 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2015. 

66. Personal data and Financial Lives survey

    Last modified: 01/02/2024
    This privacy notice explains what personal data the FCA collects during the Financial Lives survey and how and why it uses the information as part of its regulatory work.

67. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    Firm A is keen to do the right thing. Its compliance function is strong and well-resourced and it audits the business regularly. ... It falls to each layer of an institution to maintain, protect and invest in its continued growth.

68. Strengthening the FCA’s 2nd Line - Assurance Letter - Oliver Wyman [pdf]

    Corporate documents Published: 21/10/2015 Last modified: 21/10/2015
    In January 2015 the FCA Strengthened its control framework by creating the Risk and Compliance Oversight Division. This will be the key second line of defence working with regulatory divisions and internal audit. Subsequently we commissioned Oliver

69. About our data

    Last modified: 14/03/2024
    The FCA publishes a wide range of data. Find out about the types of data available and how often it is published.

70. British Steel Pension Scheme redress FAQ

    Tasks for regulated firms Published: 24/05/2022 Last modified: 28/02/2023
    The FCA provides answers to requests for further clarification on our consultation on the BSPS redress scheme.