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CP15/28: Quarterly Consultation Paper No. 10
make changes to our DISP rules to make complaints reporting requirements more consistent and clear. ... The UK is not permitted to impose additional requirements in relation to its transposition of this Article. -
Market abuse requires a dynamic response to a changing risk profile
That is why developing the effective ‘conduct risk identification muscles’, is critical to protecting your businesses and ensuring our markets remain clean. ... technology is only as good as the data that feeds it and the requirements and constraints -
DP20/2: Prudential requirements for MiFID investment firms
This Discussion Paper sets out initial views as well as technical details on the Investment Firm Directive (IFD) and the Investment Firm Regulation (IFR). The Government will be introducing a framework for the new regime for UK firms. We are seeking -
London FinTech Week 2016 - innovation in RegTech
Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at London FinTech Week 2016. -
Regulations for third party Payment Providers
Find out more about AIS and PIS, including our role in regulating providers. -
Recovery plans – initial observations
In general, the identification and analysis of internal and external interconnectedness was insufficient. ... A large number of firms struggled with the identification and calibration of recovery plan indicators. -
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms
Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report
Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime. -
The challenges for insurance and regulators in a Big Data world
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Association Of British Insurers (ABI) annual conference.