Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 391 to 400 of 491 search results for aware of the needs of their vulnerable customers and should.

  1. Weighing the value of data – trade-offs, transparency and competition in the digital marketplace

    Speeches Published: 07/05/2019 Last modified: 08/05/2019
    Speech by Robin Finer, Acting Chief Economist at the FCA, delivered at the Respublica conference ‘The Value of Data, Competition, and Financial Services’, London.

  2. Investors warned over Connaught Income Funds

    News stories Published: 26/05/2011 Last modified: 16/07/2014
    However, customers need to be aware that these bank accounts have stronger investor protections should anything go wrong and offer lower risks to your money than there is investing in the ... If you have any further questions at this stage you should

  3. Rules that apply to firms in SRO and fund operators in the TMPR

    Firms Focus areas Published: 19/08/2020 Last modified: 02/01/2024
    We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR).

  4. Our approach to cyber security in financial services firms

    Speeches Published: 21/09/2016 Last modified: 14/11/2016
    Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the FT Cyber Security Summit.

  5. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    The quote doesn’t need LBJ’s chequered legacy to give it added strength. ... Rather than an oath creating a culture, I believe it should be reflective of it.

  6. Outsourcing claim activities to private investigators

    Tasks for regulated firms Published: 09/02/2016 Last modified: 14/02/2023
    Understand the responsibilities of insurers for the actions of private investigators (PIs) who investigate claims.

  7. MLA A1 and A2: balance sheet FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
    MLA A1 and A2: balance sheet FAQs

  8. Key findings on our recent work on pension transfer advice

    Multi-firm reviews Published: 06/12/2018 Last modified: 06/12/2018
    Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we

  9. FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators

    Press Releases Published: 21/07/2014 Last modified: 21/07/2014
    ETV thematic review identifies risk of customers losing out on retirement income due to poor advice. ... All firms active in this complex area of pension transfer activity should think very carefully about the quality of the advice process and assurance

  10. Investment Association Annual Dinner 2017

    Speeches Published: 17/10/2017 Last modified: 17/10/2017
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Investment Association Annual Dinner 2017.