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Showing 5081 to 5090 of 5103 search results for Financial Services Register to make sure a firm.

  1. Watch out for signs of loan fee fraud as summer spending fuels financial pressure

    Press Releases Published: 09/08/2023 Last modified: 09/08/2023
    With summer in full swing, the FCA launches its latest campaign to help consumers spot and avoid loan fee fraud.

  2. Restrictions placed on Nexus Independent Financial Advisers and Nexus Investment Managers

    News stories Published: 31/01/2023 Last modified: 31/01/2023
    On 25 January 2023, the FCA imposed a number of restrictions on Nexus Independent Financial Advisers and Nexus Investment Managers preventing them from carrying out any regulated activities and restricting access to their assets due to concerns

  3. FG16/5: Guidance for firms outsourcing to the ‘cloud’ and other third party IT services

    Finalised guidance Published: 07/07/2016 Last modified: 30/08/2023
    In November 2015, the FCA consulted on guidance to clarify the requirements on firms when outsourcing to the ‘cloud’ and other third party IT services. The FCA published the final guidance (FG16/5) in July 2016.

  4. Wholesale banks and asset management cyber multi-firm review findings

    Multi-firm reviews Published: 10/12/2018 Last modified: 10/12/2018
    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

  5. PS18/14: Extending the Senior Managers and Certification Regime to FCA firms – Feedback to CP17/25 and CP17/40, and near-final rules

    Policy statements Published: 26/07/2017 Last modified: 04/07/2018
    We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.

  6. FCA takes over regulation of consumer credit firms - research shows 9m people are in serious debt and 1.8m in denial

    Press Releases Published: 01/04/2014 Last modified: 01/04/2014
    Financial Conduct Authority Chief Executive, Martin Wheatley, said:. “We have a big task ahead; it’s our job to make sure firms put their customers at the heart of their business ... We won’t shy away from taking tough, decisive action to make sure

  7. FCA finalises proposals to boost disclosure of diversity on listed company boards and executive committees

    Press Releases Published: 20/04/2022 Last modified: 20/04/2022
    We have finalised our rules requiring listed companies to report information and disclose against targets on the representation of women and ethnic minorities on their boards and executive management.

  8. PS22/5: New cancellation and variation power: Changes to the Handbook and Enforcement Guide

    Policy statements Published: 19/05/2022 Last modified: 10/11/2023
    We are changing our Handbook and Enforcement Guide to give guidance on our new power to cancel or vary the statutory permissions of many FCA-authorised firms.

  9. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

    Speeches Published: 12/05/2014 Last modified: 13/05/2014
    Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

  10. A third of over 75s targeted by investment scams, as FCA urges consumers to take the time to check

    Press Releases Published: 05/12/2016 Last modified: 05/12/2016
    A fifth (22%) of over 55s and a third (32%) of over 75s believe they have been targeted by an investment scam in the last 3 years Over half (55%) of those who have invested in financial products did so on their own, rather than making the decision
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