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Showing 141 to 150 of 296 search results for dear ceo letters.

  1. Dear CEO letter: Implementing the Consumer Duty for closed products and services - consumer finance [pdf]

    Correspondence Published: 16/05/2024
    Our letter setting out priority issues and actions firms should be considering ahead of the 31 July 2024 implementation deadline.

  2. Dear CEO letter: FCA expectations of general insurance firms undertaking pricing activities [pdf]

    Correspondence Published: 31/10/2018
    On 31 October 2018, the FCA wrote to CEOs regarding our expectations of general insurance firms undertaking pricing activities.

  3. Dear CEO Letter: Action needed in response to common control failings identified in anti-money laundering frameworks [pdf]

    Correspondence Published: 05/03/2024
    Our letter to CEO on failings in anti-money laundering controls.

  4. Dear CEO letter: Implementing the Consumer Duty for closed products and services - consumer investments [pdf]

    Correspondence Published: 16/05/2024
    Our letter setting out priority issues and actions firms should be considering ahead of the 31 July 2024 implementation deadline.

  5. Dear CEO letter: Maintaining adequate client money arrangements - general insurance intermediaries [pdf]

    Correspondence Published: 02/07/2021
    Dear CEO letter: Maintaining adequate client money arrangements - general insurance intermediaries.

  6. Dear CEO letter: Due diligence requirements for Self-Invested Pension Plan (SIPP) investments [pdf]

    Correspondence Published: 30/10/2018
    On 30 October 2018, the FCA wrote to CEOs regarding due diligence requirements for Self-Invested Pension Plan (SIPP) investments.

  7. Dear CEO letter: Non-bank payment service providers – requirements for safeguarding of customer funds [pdf]

    Correspondence Published: 04/07/2019
    What we expect of electronic money institutions (EMIs) and authorised payment institutions (APIs) in relation to their safeguarding obligations.

  8. Dear CEO Letter: Persistent debt (PD), your approach to customers who have been in persistent debt for 36 months (PD36) [pdf]

    Correspondence Published: 03/02/2020
    Dear CEO Letter: Persistent debt (PD), your approach to customers who have been in persistent debt for 36 months (PD36)

  9. Contract for differences

    Tasks for firms Published: 09/01/2017 Last modified: 21/04/2023
    Find out about the FCA's expectations of providers and brokers offering retail consumers contract for differences (CFD) products, which include spread betting and rolling spot foreign exchange (FX).

  10. Dear CEO letter: Quality of Prudential Regulatory Returns [pdf]

    Correspondence Published: 19/02/2018
    The data in prudential regulatory returns (returns) are important for firms and the FCA. However, a significant number of firms submit returns that contain inaccurate and/or incomplete data. This hinders the use of the data within the returns. We