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Showing 501 to 510 of 545 search results for We use the complaints data to help assess.

  1. Park First Limited – information for investors

    News stories Published: 04/07/2019 Last modified: 17/10/2019
    Four companies in the Park First group entered administration on 4 July 2019. Find out what this means for investors.

  2. MiFID reporting after the Brexit transition period

    Firms Focus areas Markets Markets policy Published: 04/12/2020 Last modified: 11/01/2023
    Read this page if your firm is migrating to FCA FIRDS or FCA FITRS after 31 December 2020. You will find information here about what you need to do. 

  3. MiFID II costs and charges disclosures review findings

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and

  4. Business interruption insurance during the coronavirus pandemic - High Court test case

    Statements Published: 15/05/2020 Last modified: 10/06/2020
    Statement on how we are engaging with policyholders and insurance intermediaries on business interruption (BI) insurance.

  5. The coronavirus (Covid-19) financial resilience survey data

    Data Published: 07/01/2021 Last modified: 07/01/2021
    The results from the FCA's financial resilience surveys that were sent to 23,000 regulated firms. Through the surveys the FCA is understanding the real-time effect the pandemic is having on the finances of the firms it prudentially regulates.

  6. FCA consults on new rules to improve the approach to open-ended funds investing in illiquid assets

    Press Releases Published: 08/10/2018 Last modified: 08/10/2018
    The Financial Conduct Authority (FCA) is consulting on new rules and guidance to reduce the potential for harm to investors in funds that hold illiquid assets, particularly under stressed market conditions. These measures will also support the

  7. Scammers target over £2 million in pension pots in the last five months

    ScamSmart Press Releases Published: 07/07/2021 Last modified: 07/07/2021
    The FCA are urging anyone saving for their retirement to protect their savings.

  8. Evolving the FCA's approach to markets regulation

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds

    Multi-firm reviews Published: 16/11/2023 Last modified: 16/11/2023
    We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and

  10. Critical issues in financial regulation: The FCA's perspective

    Speeches Published: 26/04/2022 Last modified: 28/04/2022
    Speech by our CEO, Nikhil Rathi, delivered at City Week 2022.
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