Search results
Showing 621 to 630 of 756 search results for needs of their vulnerable customers and should consider.
-
FCA fines financial advice firm and bans Arthur Cobill and William Hofstetter for British Steel Pension Scheme advice and oversight failings
The FCA has fined Inspirational Financial Management Ltd (IFM), which is in administration, £897,840. -
The fight against skimmers and scammers
Speech by Charles Randell, Chair of the FCA, delivered at the Cambridge Economic Crime Symposium. -
Recruit, change or terminate an appointed representative
If you're a principal firm, find out how to recruit, change or terminate appointed representatives (AR) and complete related Approved Persons applications. -
Speech: Shadow banking - the potential risks and rewards
TheECB does not have data to quantify this risk and one should consider the true likelihood of extremely large systematic outflows. ... A lesson arising from these points is, perhaps, that one should facilitate and welcome market solutions to market -
The importance of purposeful anti-money laundering controls
Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021. -
The defining challenge of our time
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the NAPF Investment Conference, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version. -
MiFID II costs and charges disclosures review findings
As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and -
Using artificial intelligence to keep criminal funds out of the financial system
Speech by Rob Gruppetta, Head of the Financial Crime Department at the FCA, delivered to the FinTech Innovation in AML and Digital ID regional event, London. -
Update on our work around pensions and retirement income
Pensions and retirement income is a priority sector for the FCA. Read more about our policy work and market monitoring in this area. -
Service standards 2019/20
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2019/20.