Search results
Showing 471 to 480 of 491 search results for aware of the needs of their vulnerable customers and should.
-
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. -
MiFID II – the road ahead
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Open-ended funds investing in less liquid assets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members. -
Whistleblowing qualitative assessment survey 2022
This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to -
Consumer Investments Strategy – 1 year update
The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
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 -
2018 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 2018. -
2016 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 2016. -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
Making competition king – the rise of behavioural economics at the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version.