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Showing 511 to 520 of 557 search results for aware of the needs of their vulnerable customers.
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Effective compliance with the Market Abuse Regulation – a state of mind
whom the FCA needs to engage as competent authority to enhance the efficacy of the regime in the UK. ... We need to take all the steps we can to prevent market abuse from taking place within our markets. -
FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught
The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught) -
Primary Market Bulletin 49
This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report -
State Street UK fined £22.9m by Financial Conduct Authority for Transitions Management failings
customers. State Street UK allowed a culture to develop in the UK TM business which prioritised revenue generation over the interests of its customers. ... Customers’ interests: Principle six. A firm must pay due regard to the interests of its -
FCA publishes final rules to make those in the banking sector more accountable
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 or ... Firms’ preparations will need to include ensuring that staff who will be -
Cultural evolution: how culture must change to meet expectations
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum. -
Financial services contracts regime
The temporary permissions regime will enable relevant firms and funds which passport into the UK to continue operating in the UK if the passporting regime falls away abruptly when the UK leaves the EU. -
FSA and OFT publish guidance to firms designing new payment protection products
The Financial Services Authority (FSA) and the Office of Fair Trading (OFT) have jointly published final guidance to help prevent the problems associated with Payment Protection Insurance (PPI) recurring in a new generation of products. -
2017 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. -
Two financial advisers banned and fined after investors lose out
By June 2009 both men were aware that the property investment companies were in difficulty, with the market falling and bank lending seizing up. ... Bentley-Leek and Dervish fell far short of our expectations, they failed their customers and further