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Showing 341 to 350 of 517 search results for Occasional Papers and read our.

  1. CP15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation (2014/596/EU)

    Consultation papers Published: 05/11/2015 Last modified: 05/11/2015
    Consultation papers First published:. 05/11/2015. Last updated: 05/11/2015. Share page. ... We want to know what you think of these proposals. Please respond to the questions in Annex 3 of the consultation paper by 4 February 2016 using our online form.

  2. FCA proposes stronger protection for consumers in financial markets

    Press Releases Published: 14/05/2021 Last modified: 14/05/2021
    Plans for a new Consumer Duty which will set a higher level of consumer protection in retail financial markets

  3. CP23/30: Operational resilience: Critical third parties to the UK financial sector

    Consultation papers Published: 07/12/2023 Last modified: 07/12/2023
    We set out, jointly with the PRA and the Bank, the proposed requirements and expectations for critical third parties (CTPs).

  4. 2017 Disclosure Log

    Last modified: 16/11/2023
    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 2017. 

  5. TR14/19 – Wealth management firms and private banks – Conflicts of interest: in-house investment products

    Thematic reviews Published: 24/11/2014 Last modified: 07/02/2022
    Findings of our review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products (IHPs) in retail discretionary and advisory investment portfolios.

  6. The FCA’s Business Plan and Priorities

    Speeches Published: 16/05/2018 Last modified: 16/05/2018
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at the BIBA 2018 Annual Conference & Exhibition, Manchester

  7. TR14/13 - Best execution and payment for order flow

    Thematic reviews Published: 31/07/2014 Last modified: 31/07/2014
    We publish our findings from our thematic review of best execution and payment for order flow. ... This paper presents our findings from the review of best execution and payment for order flow (PFOF).

  8. PS16/18: Changes to the Decision Procedure and Penalties manual and the Enforcement Guide for the implementation of the Market Abuse Regulation

    Policy statements Published: 30/06/2016 Last modified: 30/06/2016
    including:. changes to our decision-making procedure in DEPP 2 to include the new powers that we will have under the Financial Services and Markets Act 2000 (FSMA). ... changes to our statements of policy in DEPP 6 and DEPP 6A to set out how our policy

  9. TR14/9 - Commercial insurance intermediaries - conflicts of interest and intermediary remuneration

    Thematic reviews Published: 27/05/2014 Last modified: 27/05/2014
    Providing further information and education to SME customers highlighting our findings and their rights. ... in our review, and to make any necessary changes required to ensure that they are complying with the existing regulatory requirements in this area

  10. FCA publishes the interim report of its investment and corporate banking market study and a discussion paper on the IPO process

    Press Releases Published: 13/04/2016 Last modified: 13/04/2016
    FCA publishes the interim report of its investment and corporate banking market study and a discussion paper on the IPO process. ... The FCA is asking for views on the IPO discussion paper and potential changes to the IPO process by 13 July 2016.
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