Search results
Showing 221 to 230 of 771 search results for identification of poor.
-
FCA publishes thematic review into dark pools
The FCA considered the promotion undertaken by dark pool operators, the quality of the identification, management and disclosure of conflicts of interest and also reviewed relevant governance, oversight and controls. -
Market abuse in a time of coronavirus
Julia Hoggett speaking on market abuse at the Ciy & Financial Global event. -
Information for newly authorised firms
As a newly authorised firm, learn about the systems you'll use and important things you need to know. -
Final Notice: Interactive Brokers (UK) Limited [pdf]
This final notice refers to breaches of PRIN 3 and SUP 15.10.2R relating to poor market abuse controls and failure to report suspicious client transactions. We imposed a fine. -
FCA outlines where improvements are needed in ESG benchmarks
High quality ESG benchmarks are important to support trust in the market for ESG products and the transition to a net zero economy. -
Firm handling of complaints during coronavirus
Find out about how firms should handle complaints during coronavirus. -
Innovation and improving outcomes
Speech by Christopher Woolard, Director of Strategy and Competition, delivered at the Global Digital Banking Conference on 16 June 2016 in London. -
Evaluating our work
Find out more about how we evaluate our work in relation to our rules and wider effectiveness, and how this evaluation is a critical part of getting our interventions right and helping us improve our performance. -
Reporting sanctions evasions
If you have information about sanctions evasion or weaknesses in sanction controls we want you to report it to us. -
Ageing population and financial services
Speech by Linda Woodall, Director of Life Insurance and Financial Advice, delivered at the Ageing Population Occasional Paper launch event.