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Showing 461 to 470 of 491 search results for aware of the needs of their vulnerable customers and should.

  1. The commercial importance of culture to industry

    Speeches Published: 02/12/2014 Last modified: 02/12/2014
    Or is there, as I’ve been arguing, a need for much greater urgency? ... You should not – as I argued at a graduation ceremony for finance students earlier this year – need a rule book to determine right from wrong.

  2. Over 55s at heightened risk of fraud, says FCA

    Press Releases Published: 25/05/2016 Last modified: 25/05/2016
    The tactics that these criminals use are very, very sophisticated; they could suck in even the savviest of investors, something that everyone should be aware of. ... This provided us with an understanding of which individuals are most vulnerable to

  3. FCA analysis reveals there are fewer than 1 million interest-only mortgages outstanding

    Press Releases Published: 15/08/2023 Last modified: 15/08/2023
    The number of interest-only (750,000) and part-interest-only (245,000) mortgages has halved since 2015, new FCA analysis has found

  4. Cultural evolution: how culture must change to meet expectations

    Speeches Published: 26/06/2023 Last modified: 26/06/2023
    Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations, delivered online at the Westminster Business Forum.

  5. Client assets and coronavirus (Covid-19)

    Firms Tasks for regulated firms Published: 06/04/2020 Last modified: 13/02/2023
    Summary of queries we have received and our position on client assets (CASS) compliance related to the current disruption caused by coronavirus (Covid-19).

  6. Regulatory Developments and the Changing Market Structure

    Speeches Published: 12/03/2014 Last modified: 12/03/2014
    Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version

  7. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

    Press Releases Published: 04/02/2016 Last modified: 19/04/2016
    Clear individual accountability should focus minds, drive up standards, and make firms easier to run and to supervise. ... Firms’ preparations will need to include ensuring that staff who will be subject to the new rules are aware of the conduct rules

  8. Approved Persons Regime (APR) and coronavirus: our expectations - December 2020 update

    Published: 18/12/2020 Last modified: 18/12/2020
    In June 2020, we set out our expectations to help firms using Appointed Representative (AR) arrangements apply the Approved Persons Regime (APR) during coronavirus (Covid-19). We offered some additional flexibility in the application of rules to

  9. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    This should create a clear opportunity for research from more specialised providers, including in the coverage of SMEs. ... as to what the concerns are, whether any intervention is necessary, and if so what form that intervention should take.

  10. Cyprus CFD firms Maxiflex Ltd (trading as EuropeFX), Maxigrid Limited (trading as Dualix & AGM Markets), and Reliantco Investments Ltd (trading as UFX)

    Statements Published: 15/06/2020 Last modified: 19/06/2020
    Removal of these firms’ permission to sell contracts for difference (CFDs) to UK consumers.