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Fair treatment of customers
All firms must be able to show consistently that fair treatment of customers is at the heart of their business model. Learn more about what is expected. -
Register your society
Whether you should register your society and how to do so. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Digital regulatory reporting
Digital Regulatory Reporting (DRR) is a joint initiative to make regulatory reporting more efficient and effective. -
Knowing your customer and assessing their needs
If you provide financial advice to retail clients, it's important to assess each customer's needs before making recommendations. We explain what you should consider. -
The technology challenge
Speech by Martin Wheatley, CEO, the FCA, at Lansons, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FSA - GC11/2 [pdf]
As a firm, you are required to explain products and services clearly and give consumers fair and clear information, which is not misleading. This article runs through what we, the FSA, expect of you when it comes to promoting financial products and -
TR14/6 - Supervising retail investment firms: being clear about adviser charges and services [pdf]
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Whistleblowing in practice: Case studies
Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act and how the FCA protects other firms. -
5 Conduct Questions Programme
The FCA has engaged with firms on conduct and risk and is now feeding back findings on good and bad practice. The 5 Conduct Questions Programme covers the importance of overall governance, identifying conduct risk and fostering staff engagement