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Showing 5061 to 5070 of 5130 search results for Financial Services Register to make sure.

5061. The art of thinking independently together – why the regulator cares about diversity

      Speeches Published: 30/10/2017 Last modified: 30/10/2017
      Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the LGBT in the Financial Services Industry Summit.

5062. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

      Press Releases Published: 21/12/2020 Last modified: 21/12/2020
      The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

5063. Consumer Duty implementation: good practice and areas for improvement

      Good and poor practice Published: 20/02/2024 Last modified: 22/02/2024
      What firms are doing well and what they could do better.

5064. Martin Wheatley calls for greater transparency in the asset management sector at the 2013 FCA Asset Management Conference

      Press Releases Published: 30/10/2013 Last modified: 30/10/2013
      A specific concern is that some asset managers are pushing the definition of ‘research’ by using client commissions to cover non eligible costs and services. ... Our clear objective is to ensure we deliver the greatest possible value for money,

5065. CP18/29: Temporary permissions regime for inbound firms and funds

      Consultation papers Published: 10/10/2018 Last modified: 01/03/2019
      The temporary permissions regime will allow EEA firms and funds to continue regulated business in the UK, if the UK leaves the EU in March 2019 without an implementation period in place. This consultation paper sets out how we expect the regime to

5066. FCA reminds asset managers of importance of meeting investors’ expectations

      Press Releases Published: 07/04/2016 Last modified: 07/04/2016
      To ensure investors’ expectations are met, fund management firms must have appropriate oversight to make sure the fund is being managed in accordance with its stated investment policy. ... The UK fund industry plays a vital role in delivering financial

5067. Insurance firms failing to consider value of the products and services provided to consumers

      Press Releases Published: 10/04/2019 Last modified: 10/04/2019
      The Financial Conduct Authority (FCA) is warning General Insurance (GI) firms about manufacturing, sales and distribution approaches that can lead to customers purchasing inappropriate products, paying excessive prices or receiving poor service.

5068. Carina Asset Management / Sloane Court Capital / SS & Co Consultancy Limited

      Warnings Published: 16/02/2018 Last modified: 12/04/2018
      We have published this statement to warn consumers against dealing with unauthorised firms.

5069. FCA, TPR and MaPS joint statement on P&O defined benefit pension schemes

      Statements Published: 12/04/2022 Last modified: 13/04/2022
      Current and former employees of P&O are urged not to make any quick decisions about their pension following recent media reports.

5070. FCA statement on the reporting of derivatives under the UK EMIR regime in a no-deal scenario

      Statements Published: 11/03/2019 Last modified: 24/11/2020
      This statement explains what Trade Repositories (TRs), and UK counterparties that use them, should do to make sure they are compliant with their EMIR reporting obligations after the UK leaves the EU.