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Showing 481 to 490 of 491 search results for aware of the needs of their vulnerable customers and should.
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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 -
Ex post Impact Evaluation Framework – Feedback Statement
This feedback statement summarises views received from our stakeholders after the publication of a discussion paper in April 2018, and our responses to them. -
2014 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 2014. -
Business interruption insurance test case: draft guidance for firms
FCA publishes draft guidance for firms on the business interruption insurance test case -
2019 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 2019. -
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. -
Primary Market Bulletin 49
This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report -
Consumer investments data review April - September 2021
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021. -
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 -
Authorised fund managers’ assessments of fund value 2023
Feedback following the second MFR of Authorised Fund Managers compliance with our Assessment of Value rules.