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Showing 242 to 251 of 252 search results for guidance on the fair treatment of vulnerable customers.
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Fair treatment of customers
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Advice firms demonstrate some good practice on due diligence but greater consistency needed
The relevant regulatory requirements and guidance are:. Principle for business 9: A firm must take reasonable care to ensure the suitability of its advice and discretionary decisions for any customer who ... Guidance on costs, for example in relation to -
How can we ensure that Big Data does not make us prisoners of technology?
Speech by Charles Randell, Chair, Financial Conduct Authority and Payment Systems Regulator, delivered at Reuters Newsmaker event, London. -
Evolving the FCA's approach to markets regulation
Keynote speech by David Lawton, Director of Markets, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version. -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness
Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference. -
Financial Lives 2022 survey - Key findings from the May 2022 survey: Executive summary
Executive summary for the key findings from the FCA’s Financial Lives February 2022 survey. -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
Our Rule Review Framework
The FCA have developed a draft Rule Review Framework to explain how it plans to monitor and review how its rules are working in practice. -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and