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Showing 121 to 130 of 771 search results for identification of poor.

  1. British Steel pension redress scheme

    Consumers Published: 30/05/2021 Last modified: 28/02/2023
    You could be owed money if you were given poor advice to transfer out of the BSPS. Find out more about the FCA’s redress scheme.

  2. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    But nevertheless this behaviour happened, and was allowed to happen, by poor systems and controls. ... And you will have seen our notices explicitly setting out how we have increased penalties to reflect poor regulatory or compliance histories.

  3. 2016 Disclosure Log

    Last modified: 30/01/2020
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2016. 

  4. The technology challenge

    Speeches Published: 10/06/2014 Last modified: 19/06/2014
    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.

  5. Data security

    Tasks for regulated firms Published: 31/07/2015 Last modified: 21/02/2023
    You are responsible for securing your customer data and protecting it from fraudsters. Read more about the measures you should consider.

  6. Future into focus

    Speeches Published: 19/09/2013 Last modified: 19/09/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, at the International Swaps and Derivatives Association (ISDA) conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. 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).

  8. GC13/3 Examples of good and poor practice in ‘Banks’ control of financial crime risks in trade finance’

    Guidance consultations Published: 02/07/2013 Last modified: 07/02/2022
    This proposed guidance relates to the following rule(s) in the FCA Handbook.

  9. CP16/40: Contracts for differences - enhancing the conduct of business regime infographic [pdf]

    Consultation papers Published: 06/12/2016
    This infographic explains our supervision work over the past six years where we identified instances of poor conduct across the CFD sector.

  10. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.