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Showing 61 to 70 of 296 search results for dear ceo letters.
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Fast-growing firms (FGFs) multi-firm review
We summarise our findings and set out our expectations of FCA solo-regulated fast-growing firms to identify, assess and manage the risks arising from their activities. -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
FCA bars Cypriot firms that used unauthorised celebrity endorsements
The FCA has taken action to stop four Cypriot investment firms from continuing to offer high risk contracts for difference (CFDs) to UK investors -
Statement re: promotion of shares in EMMIT plc
The FCA’s (and FSA’s) previous warning on SIPPS -and Dear CEO letter. -
FCA statement on contract for difference products and CP16/40
This statement provides an update on the Financial Conduct Authority’s (FCA) policy work on contract for difference products (CFDs) and CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail -
DP14/2 Fairness of changes to mortgage contracts
This DP is an opportunity to open up the discussion and be transparent about the factors that may be relevant when considering the fairness of changes to regulated mortgage contracts. -
TR13/10 - Outsourcing in the asset management industry
We have published the findings from our review that assessed whether asset managers are effectively mitigating the risks relating to outsourcing. -
FCA outcomes and metrics
The FCA is committed to being clear about how it is accountable for its progress. On this page the FCA sets out its outcomes and the metrics it will use to measure them. -
Information for SIPP operators in light of Berkeley Burke administration
On 18 September 2019 the directors of Berkeley Burke SIPP Administration Limited ('BBSAL'), a firm authorised and regulated by the FCA, appointed Adrian Allen and Diana Frangou of RSM Restructuring Advisory LLP as Joint Administrators -
PS15/4: Retirement reforms and the guidance guarantee
In this Policy Statement we publish the final rules in respect of retirement risk warnings. The rules have been made without consultation, in reliance on section 138L of the Financial Services and Markets Act 2000.