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Showing 241 to 250 of 296 search results for dear ceo letters.

  1. The FCA’s approach to supervising wealth management and private banking firms

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Consumer Duty implementation: good practice and areas for improvement

    Good and poor practice Published: 20/02/2024 Last modified: 22/02/2024
    What firms are doing well and what they could do better.

  3. FCA one year on – effective regulation goes hand-in-hand with sustainable businesses

    Speeches Published: 12/05/2014 Last modified: 13/05/2014
    Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version.

  4. General insurance product value and coronavirus (Covid-19) Guidance – update

    Studies and reviews Multi-firm reviews Published: 25/08/2021 Last modified: 25/08/2021
    We set out the findings from our multi-firm review assessing how firms have responded to our general insurance (GI) distribution chain Guidance (further to the product governance rules implemented by the IDD) and coronavirus (Covid-19) value Guidance

  5. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how

  6. LIBOR and the FCA's powers under the UK Benchmarks Regulation: questions and answers

    Firms Focus areas Markets Markets policy Published: 15/10/2021 Last modified: 09/01/2023
    In September 2021, we published information for firms to help manage an orderly wind-down of LIBOR. We explain this as well as information about our UK Benchmarks Regulation (BMR) powers.

  7. [pdf]

    Correspondence Published: 29/11/2013 Last modified: 29/11/2013

  8. FSA – Approving and Supervising Significant Influence Functions – Our More Intrusive Regulatory Approach [pdf]

    Correspondence Published: 12/10/2009 Last modified: 14/03/2013

  9. Dear Chair letter to firms on fair treatment of SME customers during collections and recoveries [pdf]

    Correspondence Published: 12/07/2022
    Letter to retail banks with small and medium sized enterprise customers on action needed to ensure fair treatment.

  10. Dear Chair of the Board Letter - Governance compliance review [pdf]

    Correspondence Published: 22/09/2016
    To assess the extent to which Significant IFPRU Investment Firms are following CRD IV governance requirements.