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Showing 321 to 330 of 898 search results for Consumer Duty letter.

  1. How we grant confirmation

    Tasks for regulated firms Published: 06/08/2015 Last modified: 08/02/2023
    This process is so that we ensure a consistent and efficient approach when dealing with requests for confirmation.

  2. Do the right thing

    Speeches Published: 01/06/2023 Last modified: 30/10/2023
    Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.

  3. FCA Warning List of unauthorised firms

    Consumers Scams Published: 03/04/2016 Last modified: 04/10/2023
    Search the FCA Warning List to find details of unauthorised firms and individuals that aren’t allowed to operate in the UK.

  4. Fake FCA communications

    Consumers Scams Published: 18/02/2021 Last modified: 21/03/2024
    Fraudsters sometimes pretend to work for the FCA, so if you’re unsure it’s important to check. Find out how to spot fake FCA emails, phone calls, and websites.

  5. Principals and appointed representatives

    Tasks for firms Firms Published: 09/05/2015 Last modified: 24/04/2024
    If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.

  6. Coronavirus (Covid-19): Information for firms

    Firms Focus areas Published: 17/03/2020 Last modified: 29/07/2022
    Our expectations for firms during the coronavirus pandemic, and the measures we’ve put in place to make sure customers are protected.

  7. FCA Prudential Supervision Forum

    News stories Published: 21/05/2015 Last modified: 30/03/2018
    appropriate degree of protection for consumers; promoting competition in the interests of consumers. ... This informs our approach to prudential regulation: firms can and do fail, but our aim is to minimise detrimental impact on consumers, counterparties

  8. Approved Persons help text: Connect

    Published: 12/05/2016 Last modified: 04/10/2023
    Read the FCA Connect help text for Approved Persons.

  9. Apply to be a registered AIFM

    Focus areas Published: 06/06/2016 Last modified: 12/07/2024
    Learn how to apply to us to be a small registered Alternative Investment Fund Manager (AIFM), including SEF and RVECA managers.

  10. Submit a change in control notification

    Tasks for firms Published: 12/10/2019 Last modified: 13/12/2023
    Find out how to prepare your notification and understand what happens after you submit it.