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Showing 971 to 980 of 1228 search results for Occasional papers First published.

  1. Advice firms demonstrate some good practice on due diligence but greater consistency needed

    Press Releases Published: 19/02/2016 Last modified: 19/02/2016
    Press Releases First published:. 19/02/2016. Last updated: 19/02/2016. Share page. ... Incorrect risk profiling as outlined in the first ‘Assessing Suitability’ guidance paper.

  2. FCA publishes update on wide-ranging review of retail banking sector

    Press Releases Published: 27/06/2018 Last modified: 07/05/2024
    The FCA has published an update on its Strategic Review of Retail Banking Business Models.

  3. Consumer Investments Strategy - 2 Year Update

    Corporate documents Published: 08/12/2023 Last modified: 13/05/2024
    The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.

  4. CP15/38: Provisions to delay disclosure of inside information within the FCA’s Disclosure and Transparency Rules

    Consultation papers Published: 20/11/2015 Last modified: 20/11/2015
    Consultation papers First published:. 20/11/2015. Last updated: 20/11/2015. Share page. ... In this consultation paper we address developments relating to the disclosure of inside information by issuers with securities admitted to trading on a regulated

  5. CP16/12: Secondary annuity market – proposed rules and guidance

    Consultation papers Published: 21/04/2016 Last modified: 18/10/2016
    This Consultation Paper seeks views on our proposed new rules and guidance for the secondary annuity market, which is due to start in April 2017. 

  6. PS17/23: Reforming the availability of information in the UK equity IPO process

    Policy statements Published: 01/03/2017 Last modified: 26/10/2017
    We are setting out a package of measures intended to improve the range, quality and timeliness of information that is available to investors during the UK equity IPO process.

  7. FCA launches consultation on changes to its FSCS rules and invites discussion on future funding of the scheme

    Press Releases Published: 14/12/2016 Last modified: 14/12/2016
    The Financial Conduct Authority (FCA) has today announced that it is inviting views on the future funding of the Financial Services Compensation Scheme (FSCS) and has also launched a consultation on a number of specific changes to its scheme rules.

  8. CP16/14: UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook

    Consultation papers Published: 19/05/2016 Last modified: 19/05/2016
    We are consulting on proposed changes to the Client Assets sourcebook (CASS) and the Collective Investment Schemes sourcebook (COLL), following the adoption of the Undertakings for Collective Investment in Transferable Securities V Level 2

  9. FCA publishes finalised guidance on inducements for product providers and advisory firms

    Press Releases Published: 16/01/2014 Last modified: 07/02/2022
    In finalised guidance on inducements published today, the Financial Conduct Authority (FCA) makes it clear that financial advisers and product providers share the responsibility of managing potential conflicts of interests when receiving and making

  10. How to flex your organisation's power through culture and conduct

    Speeches Published: 23/11/2023 Last modified: 23/11/2023
    Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at City & Financial's Culture and Conduct Forum.