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Showing 461 to 470 of 557 search results for aware of the needs of their vulnerable customers.

  1. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

  2. FCA orders WealthTek Limited Liability Partnership to cease operations as High Court appoints Joint Special Administrators and arrest made

    News stories Published: 05/04/2023 Last modified: 14/09/2023
    BDO LLP to take interim control of WealthTek Limited Liability Partnership.

  3. Speech: Culture in UK banking – regulatory priorities

    Insight Published: 18/10/2016 Last modified: 17/02/2017
    require. The capital markets need to allocate capital to those whose ideas are better than the alternatives. ... For the kind of detection described above regulators likely need to gather and use detailed, transaction-based data.

  4. The commercial importance of culture to industry

    Speeches Published: 02/12/2014 Last modified: 02/12/2014
    In other words, the FCA is profoundly aware of its dual responsibility here to both enforce and improve. ... Or is there, as I’ve been arguing, a need for much greater urgency?

  5. Firms reminded about potential financial crime risks linked to Afghanistan

    Statements Published: 31/08/2021 Last modified: 31/08/2021
    We are reminding firms to be aware of the potential financial crime risks linked to Afghanistan

  6. Pension scheme operators are at risk from smarter scams

    News stories Published: 24/01/2017 Last modified: 12/04/2024
    The FCA highlights risks from authorised firms failing to carry out appropriate due diligence on investment offerings.

  7. DP 21/2: Diversity and inclusion in the financial sector – working together to drive change

    Discussion papers Published: 06/07/2021 Last modified: 04/01/2023
    We are engaging financial firms and other stakeholders in a discussion on how we can accelerate the pace of meaningful change on diversity and inclusion in the sector.

  8. The FCA’s approach to Brexit: our preparations and our vision for the future

    Speeches Published: 19/07/2018 Last modified: 09/10/2020
    Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at Bloomberg/TheCityUK.

  9. Compliance, Culture and Evolving Regulatory Expectations

    Speeches Published: 26/04/2021 Last modified: 26/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

  10. FCA fines CT Capital Ltd for failures related to PPI complaint handling

    Press Releases Published: 01/06/2016 Last modified: 01/06/2016
    which resulted in customers missing out on redress payments to which they were entitled. ... have become aware (or ought reasonably to have become aware) of the cause for complaint.
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