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Showing 661 to 670 of 771 search results for identification of poor.
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PS19/11: Product intervention measures for retail binary options
In this paper, the FCA sets out its final position and Handbook rules to permanently prohibit the sale, marketing and distribution of binary options to retail consumers by firms that carry out activity in, or from, the UK. -
FCA fines Merrill Lynch International £13.2 million for transaction reporting failures
despite substantial FCA guidance to the industry and a poor history of transaction reporting compliance, consisting of a Private Warning issued in 2002 and a fine of £150,000 in 2006. -
FCA statement on compliance with Joint Committee Guidelines on Acquisitions and Increases of Qualifying Holdings (Changes in Control)
PRA have notified the ESAs that they will comply with the Guidelines except for provisions relating to the identification of acquirers of indirect qualifying holdings. -
FCA secures contract changes for buy-now-pay-later customers as more consumers use the product
FCA research shows that there has been a significant increase in the use of buy-now-pay-later (BNPL). -
Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016. -
The Prudential Regulation Authority and The Financial Conduct Authority announce new rules on remuneration
The FCA has also today issued new guidance on the adjustment of variable remuneration to take account of a specific risk or poor performance (ex-post risk adjustment). -
Cryptoasset firms marketing to UK consumers must get ready for financial promotions regime
All cryptoasset firms marketing to UK consumers, including firms based overseas, will soon need to comply with the new UK financial promotions regime. -
TR14/10 - Developments in the distribution of retail investments: Purchasing investments without a personal recommendation or with simplified advice
reduce the risk of poor customer outcomes. -
Financial Lives 2020 survey: the impact of coronavirus
The Executive Summary for the FCA’s Financial Lives 2020 survey and October 2020 Covid-19 panel survey. -
Defined Benefit (DB) transfers – further update on our work
We set out further findings from our assessment of the suitability of defined benefit (DB) transfer advice, as part of a package of measures to improve standards in this area.