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Showing 151 to 160 of 771 search results for identification of poor.

  1. Competing on integrity

    Speeches Published: 14/11/2013 Last modified: 30/09/2016
    Speech by Martin Wheatley, Chief Executive of the FCA, at the CFA European Investment Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Final Notice 2018: Bouchers with Allansons Limited [pdf]

    Final notices Published: 05/04/2018
    This final notice (Bouchers with Allansons Limited) refers to failure to keep adequate records under SYSC 9.1.1R, meaning the FCA cannot satisfy itself as to the adequacy of debt advice. Other concerns include: deficient quality assurance process;

  3. Cryptoasset firms marketing to UK consumers

    Published: 08/06/2023 Last modified: 15/11/2023
    All cryptoasset firms marketing to UK consumers will need to comply with the UK financial promotions regime.

  4. Meeting the growth challenge

    Speeches Published: 15/05/2013 Last modified: 16/08/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, at the British Insurance Brokers’ Association (BIBA) conference, ExCel Centre, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Fake FCA communications

    Consumers Scams Published: 18/02/2021 Last modified: 21/03/2024
    Fraudsters sometimes pretend to work for the FCA, so if you’re unsure it’s important to check. Find out how to spot fake FCA emails, phone calls, and websites.

  6. Leadership and conduct

    Speeches Published: 31/03/2014 Last modified: 31/03/2014
    Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Sponsor conflicts of interest

    Primary markets Published: 19/09/2018 Last modified: 16/12/2022
    Our rules require sponsors to identify and manage different conflicts of interest. Learn about our involvement in assessing conflicts.

  8. Personal data and supervision

    Last modified: 13/12/2023
    How and why the FCA uses personal data to carry out its supervision functions.

  9. Consumer credit research: debt management

    Tasks for regulated firms Published: 06/08/2015 Last modified: 16/02/2023
    Read our research to understand the debt management market and the people that use it. 

  10. FCA introduces new rules on whistleblowing

    Press Releases Published: 06/10/2015 Last modified: 19/04/2016
    working in the industry feel comfortable raising concerns and challenge poor practice and behaviour.". ... These rules aim to encourage a culture where individuals feel able to raise concerns and challenge poor practice and behaviour.