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Showing 421 to 430 of 554 search results for board effectiveness review.

  1. CP21/13: A new Consumer Duty

    Consultation papers Published: 13/05/2021 Last modified: 11/08/2023
    We consult on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards customers

  2. Investment managers still failing to ensure effective oversight of best execution

    Multi-firm reviews Published: 03/03/2017 Last modified: 25/11/2021
    We outline findings from supervisory work looking at how investment managers deliver best execution for their clients.

  3. Competition and conduct regulation in financial services

    Speeches Published: 09/09/2013 Last modified: 10/09/2013
    Speech by Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Regulatory Policy Institute's Annual Competition and Regulation Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Review of principal firms in the investment management sector

    Multi-firm reviews Published: 20/05/2019 Last modified: 20/05/2019
    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

  5. Borrowers in financial difficulty following the coronavirus pandemic - key findings

    Research insights Published: 03/11/2022 Last modified: 03/11/2022
    We detail our findings from our review of firms’ treatment of borrowers in financial difficulty after the pandemic. We include areas all firms must improve on.

  6. September 2014: Internal Audit report: A review of the Customer Contact Centre (CCC) [pdf]

    Corporate documents Published: 21/10/2015 Last modified: 25/01/2016
    This document was submitted to the Treasury Committee on 01 October 2015 and published by them today. This document is a redacted version of an Internal Audit Report submitted to the Audit Committee of the FCA Board. At the request of the Treasury

  7. General insurance value measures data - July to December 2021

    Data Published: 25/11/2022 Last modified: 25/11/2022
    The FCA has published value measures data for a wide range of General Insurance (GI) Products for July to December 2021.

  8. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

    Press Releases Published: 23/02/2015 Last modified: 23/02/2015
    Having a narrow SMR will also allow the FCA to focus regulatory resources on those responsible for key business areas and board committees. ... This includes a requirement for firms to appoint a whistleblowers’ champion, who will be responsible for

  9. The UK listing regime - developments since the UK Listings Review and next steps for reform

    Speeches Published: 06/02/2024 Last modified: 06/02/2024
    Speech by Clare Cole, Director of Market Oversight, at the Westminster Business Forum.

  10. FCA regulation of consumer credit – during the pandemic and beyond

    Speeches Published: 13/10/2020 Last modified: 14/10/2020
    Speech by Nisha Arora, Director of Consumer and Retail Policy, given at the Finance & Leasing Association conference