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Showing 471 to 480 of 554 search results for board effectiveness review.
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IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
Consumer credit — high-cost short-term credit lending data
This page highlights insightful findings about the high-cost short-term credit market, drawing on both the new regulatory return data submitted to the FCA by consumer credit firms and the FCA's Financial Lives Survey 2017. -
Potentially Anomalous Trading Ratio 2019/20
The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets. -
Finalising LIBOR transition – achievements in sterling markets and what remains to be done
Bank of England, FCA and Working Group set out what more needs to be done and update on how the Working Group will operate in the future -
FCA asks Financial Advisers to review their processes in retirement income support
We have written to the Chief Executives of financial advice firms asking them to review their processes when providing retirement income advice. -
FSA fines Nestor Healthcare Group £175,000 for clearance to deal failings
The Financial Services Authority (FSA) has fined Nestor Healthcare Group Limited (Nestor) £175,000 for failing to take adequate steps to ensure that its board members and senior executives complied with the share dealing provisions of the FSA’s -
How to flex your organisation's power through culture and conduct
Speech by Emily Shepperd, Chief Operating Officer and Executive Director of Authorisations at City & Financial's Culture and Conduct Forum. -
Bank of England, FCA, PRA and PSR review Memorandum of Understanding in relation to payment systems in the UK
The Financial Services (Banking Reform Act) 2013 requires the Authorities to review this MoU annually. ... 2017 saw the second such review. The BoE’s Deputy Governor for Financial Stability, the FCA Board, the PRA’s Deputy Governor for Prudential -
Annual Report 2015/16 and Competition Report 2013-16
influencing policy and technical standards internationally through bodies such as the European Securities and Markets Authority, the International Organization of Securities Commissions and the Financial Stability Board. ... working closely with -
TR14/19 – Wealth management firms and private banks – Conflicts of interest: in-house investment products
Findings of our review of conflicts of interest arising from wealth management and private banking firms’ use of in-house investment products (IHPs) in retail discretionary and advisory investment portfolios.