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Showing 81 to 90 of 771 search results for identification of poor.

  1. UK SFTR news

    Published: 05/03/2021 Last modified: 23/10/2023
    Read FCA news updates on the UK Securities Financing Transactions Regulation (UK SFTR).

  2. Accessibility statement

    Last modified: 30/06/2023
    Read the accessibility statement for fca.org.uk

  3. General insurance value measures

    General insurers and insurance intermediaries Published: 10/11/2021 Last modified: 15/02/2022
    We've introduced new rules on reporting data on value measures in the general insurance market.

  4. Bribery and corruption

    Tasks for regulated firms Published: 31/07/2015 Last modified: 21/02/2023
    Your firm should be vigilant about bribery and corruption. Read more on the steps you can take.

  5. FSA - Unregulated Collective Investment Schemes: Good and poor practice report [pdf]

    Archive Published: 18/08/2010 Last modified: 03/08/2016
    This guide sets out good and poor practice when promoting and providing investment advice on unregulated collective investment schemes (UCIS). It aims to help intermediary firms to understand ways of meeting our Rules and Principles as well as risks

  6. Key workers in financial services

    Firms Published: 20/03/2020 Last modified: 10/11/2020
    We set out steps firms should take to help identify key workers in financial services.

  7. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    The first three of the 5 Conduct Questions focus on the identification of conduct risk; ensuring that staff within regulated firms feel and are responsible for managing the conduct of their ... That is why developing the effective ‘conduct risk

  8. CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients [pdf]

    Consultation papers Published: 06/12/2016
    This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks.

  9. Cost of living

    Last modified: 04/07/2023
    Firms have an important role in supporting consumers struggling with higher living costs.

  10. FSA - FG12/18 [pdf]

    Finalised guidance Published: 31/07/2012 Last modified: 20/10/2014
    In March 2011 we carried out a thematic review of the sale and rent back (SRB) market. This guidance sets out our findings. The review highlighted widespread poor practice among SRB firms.