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Showing 441 to 450 of 557 search results for aware of the needs of their vulnerable customers.
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Undertaking cashflow modelling to demonstrate suitability of retirement-related advice
Our work on reviewing defined benefit transfer advice and our ongoing supervisory work identified concerns about how firms prepare and use cashflow modelling. -
Asset management portfolio tools
This report sets out our review findings of how firms in the asset management sector selected and used risk modelling and other portfolio management tools. -
Our approach to cyber security in financial services firms
Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the FT Cyber Security Summit. -
Next steps in transition from LIBOR
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the Risk.net LIBOR Summit, 2019. -
German Property Group (GPG) companies enter preliminary bankruptcy proceedings
Joint statement from the FCA, the FSC) and the Financial Ombudsman Service on an unregulated, overseas property investment scheme. -
Trust and confidence - ensuring firms’ ethics are built around their customers
Speech by Clive Adamson, Director of Supervision, at the Insurance Institute of London, London. This is the text of the speech as drafted, which may differ from the delivered version. -
The importance of culture in driving behaviours of firms and how the FCA will assess this
Speech by Clive Adamson, Director of Supervision, the FCA, at the CFA Society - UK Professionalism Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Insights from the 2020 Cyber Coordination Groups
Overview and insight from the latest quarterly Cyber Coordination Group meeting -
FCA introduces new rules on whistleblowing
managers). The Certification Regime applies to other staff who could pose a risk of significant harm to the firm or any of its customers (for example, staff who give investment advice ... Firms will need to ensure that these staff are aware of the -
Gaming trading: how trading apps could be engaging consumers for the worse
You may be familiar with the jumping green owl celebrating your completion of a Duolingo language lesson. Or perhaps you compete against your friends on Strava to run the most miles in a month. These are all examples of gamification – the use of