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Showing 601 to 610 of 684 search results for mifid ii.

601. Information for general insurers and intermediaries in the UK

     Firms Published: 26/02/2019 Last modified: 12/03/2024
     A focus for UK-based general insurers is minimising the disruption for EEA-based customers (including expats), or policies with certain EEA risks.

602. Can robo-advice improve borrower repayment decisions?

     Research articles Published: 30/08/2022 Last modified: 30/08/2022
     Analysis showing that a simple automated ‘robo-advice’ tool significantly improved borrower repayment decisions in a randomised controlled trial.

603. Information on cases officers for new firm authorisations - July 2020

     FOI Release Date of Release: 17/06/2020
     The FCA provides information on cases officers for new firm authorisations

604. Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

     Statements Published: 03/04/2020 Last modified: 22/09/2022
     Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

605. Putting the customer at the centre of the business: is it a long road ahead for the FCA?

     Speeches Published: 25/06/2015 Last modified: 25/06/2015
     Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version.

606. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

     Press Releases Published: 23/02/2015 Last modified: 23/02/2015
     Consultation paper: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to Senior Managers in banking firm. ... for deposit-takers, a comprehensive feedback statement responding to our

607. Outsourcing of Portfolio Management: List of Cooperation Agreements [pdf]

     Corporate documents Published: 14/06/2018
     A list of the supervisory authorities in third countries with which we have cooperation agreements. This list can be used by firms to assess their compliance with Article 32(1) of the MiFID Org Regulation.

608. Alliance Trust Savings Limited (clone of FCA authorised firm)

     Warnings Published: 06/10/2017 Last modified: 21/11/2020
     Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

609. What are the lessons for insurance supervisors from the recent financial crisis?

     Speeches Published: 12/02/2013 Last modified: 09/04/2024
     Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank.

610. Information in relation to FCA exercise of competition enforcement powers - November 2021

     FOI Release Date of Release: 05/11/2021
     The FCA provides information regarding what actions it took in relation to competition enforcement powers.