Search results
Showing 551 to 557 of 557 search results for aware of the needs of their vulnerable customers.
-
LIBOR and the FCA's powers under the UK Benchmarks Regulation: questions and answers
In September 2021, we published information for firms to help manage an orderly wind-down of LIBOR. We explain this as well as information about our UK Benchmarks Regulation (BMR) powers. -
Cyprus CFD firms Maxiflex Ltd (trading as EuropeFX), Maxigrid Limited (trading as Dualix & AGM Markets), and Reliantco Investments Ltd (trading as UFX)
Removal of these firms’ permission to sell contracts for difference (CFDs) to UK consumers. -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
Authorised fund managers’ assessments of fund value 2023
Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules. -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
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 -
Wholesale banks and asset management cyber multi-firm review findings
In late 2017 and early 2018 we carried out a cyber multi-firm review with a sample of 20 firms in the asset management and wholesale banking sectors. The firms we selected varied in terms of their size, scale, operating models and geography. These -
RMA-J Data required for collection of fees: help text (for reporting period ending 1 April)
Read our help text for Gabriel submission RMAR section J (RMA-J) data required for collection of fees. Firms with a reporting period ending on or after 1 April 2019.