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Showing 851 to 860 of 1228 search results for Occasional papers First published.
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CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
In this paper, we publish our proposals on how we will amend our Handbook and EU derived binding technical standards (BTS) if the UK leaves the EU without an implementation period in place. We also set out our proposed approach to EU -
The new simplified advice regime and the advice / guidance boundary review
Speech by Therese Chambers, our Director of Consumer Investments, delivered at the TISA Financial Advice and Guidance Conference. -
UBS fined £9.45m for failings in its sale of an AIG fund
The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund. -
Financial counterparties: EMIR timely confirmation and bilateral risk mitigation
See common challenges and successes for financial counterparties in complying with the timely confirmation and bilateral risk mitigation requirements. -
CP22/24: Broadening access to financial advice for mainstream investments
We are aiming to allow firms to provide mass-market consumers with straightforward financial needs greater access to simplified advice on investing into mainstream products -
PS14/9: Review of the client assets regime for investment business
PS14/9: Review of the client assets regime for investment business. Policy statements First published:. ... This policy statement summarises the feedback we received to the consultation paper, provides our response and sets out our final rules. -
CP14/5: Changes to regulatory reporting: Adviser and consultancy charging, Authorised Professional Firms (APFs) and Product Sales Data (PSD)
Consultation papers First published:. 07/03/2014. Last updated: 30/08/2015. Share page. ... This Consultation Paper (CP) forms part of our ongoing review of reporting as part of our data strategy. -
FCA planning reform of the listing regime to boost growth and competitiveness
The FCA sets out its vision to attract more high quality, growth companies to the UK -
FCA provides guidance to firms on maintaining access to cash for customers
The FCA wants to ensure that firms treat their customers fairly when closing a branch or ATM, including considering what alternatives they can provide their customers. -
FCA announces extension to its use of the temporary transitional power
The Financial Conduct Authority (FCA) today confirmed it intends to extend the proposed duration of the directions issued under the temporary transitional power to the 31 December 2020. This is to reflect the extension of Article 50. Other than the