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Showing 391 to 400 of 554 search results for board effectiveness review.
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FCA statement on contract for difference products and CP16/40
This statement provides an update on the Financial Conduct Authority’s (FCA) policy work on contract for difference products (CFDs) and CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail -
Do I need to worry about benchmark regulation?
Speech by Edwin Schooling Latter, Head of Markets Policy, FCA, delivered at CISI European Regulation Forum on 2 February 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
Regulatory Developments and the Changing Market Structure
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 -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
Expect the unexpected: cyber security in 2017 and beyond
Speech by Nausicaa Delfas, Executive Director at the FCA, delivered at the Financial Information Security Network. -
UK EMIR reporting questions and answers
Guidance for reporting under the revised UK EMIR Article 9 reporting requirements. -
Fund managers falling short on assessing the value of their funds
Our review of fund managers found most had not implemented AoVs arrangements that met FCA standards. -
Listening up to level up – regulating finance for the whole of the UK
Speech by Charles Randell, Chair of the FCA, at the Centre for Commercial Law Studies, Queen Mary University of London. -
Conduct risk during LIBOR transition
Questions and answers for firms on conduct risk during LIBOR transition. -
Moorhouse fined for failures in relation to its telephone sales
The FCA found that the Board and senior management failed to give sufficient attention to compliance issues and did not take adequate steps to address them. ... In April 2013, the FCA conducted a review of telephone sales of commercial vehicle core