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Showing 641 to 650 of 1228 search results for Occasional papers First published.

  1. Whistleblowing qualitative assessment survey 2022

    Data Published: 04/05/2023 Last modified: 04/05/2023
    This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to

  2. CP13/5: Review of the client assets regime for investment business

    Consultation papers Published: 12/07/2013 Last modified: 30/08/2015
    This paper consults on material changes to the rules in relation to client money, custody assets and mandates.

  3. FS23/6: Artificial Intelligence and Machine Learning

    Feedback statements Published: 26/10/2022 Last modified: 26/10/2023
    We asked for your input on the role supervisory authorities should have in supporting the safe and responsible adoption of AI in UK financial services..

  4. TR14/12 - Enhanced transfer value pension transfers

    Thematic reviews Published: 21/07/2014 Last modified: 21/07/2014
    TR14/12 - Enhanced transfer value pension transfers. Thematic reviews First published:. ... the FCA Handbook requirements. the relevant guidance. findings in this paper and the examples of good and poor practice.

  5. Examining the future of anti-money laundering regulations

    Speeches Published: 08/12/2015 Last modified: 16/08/2021
    Speech by Rob Gruppetta at the Accuity AML Risk Reduction and Compliance Europe Conference on 8 December 2015

  6. CP14/4 – Quarterly Consultation Paper No. 4

    Consultation papers Published: 06/03/2014 Last modified: 30/08/2015
    CP14/4 – Quarterly Consultation Paper No. 4. Consultation papers First published:. ... CP14/4 – Quarterly Consultation Paper No. 4.

  7. Innovation - impact of technology in managing FC/AML risk

    Speeches Published: 10/11/2016 Last modified: 06/12/2016
    Opening comments by Nausicaa Delfas, Director of Specialist Supervision at the FCA, for a panel discussion at our Financial Crime Conference.

  8. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

  9. UK authorities look to strengthen resilience of Money Market Funds

    News stories Published: 23/05/2022 Last modified: 23/05/2022
    The FCA, jointly with the Bank of England, and with the endorsement of the Treasury, has today published a Discussion Paper on Money Market Fund (MMFs) reform. This seeks views to inform the development of MMF reform proposals. The FCA has also

  10. DP14/1 Recovering the costs of administering the regulatory gateway through application fees

    Discussion papers Published: 22/06/2014 Last modified: 07/02/2022
    This discussion paper (DP) invites views on how we should recover from firms the costs of administering the regulatory gateway.