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Showing 671 to 680 of 756 search results for needs of their vulnerable customers and should consider.
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Retail Distribution Review six months in – how firms are implementing the RDR
The Financial Conduct Authority (FCA) has published an early review of how advisory firms have implemented some of the core aspects of the Retail Distribution Review (RDR) months after its implementation. -
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. -
Information on Consumer Network and roundtable events - November 2021
The FCA responds to multiple questions on the FCA's Consumer Network. -
The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices
and vulnerable customers, between October 2010 and June 2012. ... Principle 6 requires firms to consider the interest of its customers and treat them fairly. -
Andrew Bailey speech on retail banking in the UK - reflections from the FCA
Speech by Andrew Bailey, Chief Executive of the FCA, at the BBA Retail Banking Conference on retail banking in the UK – reflections from the FCA. -
How the UK will regulate for the future
Speech by Nikhil Rathi, our Chief Executive, delivered at the Peterson Institute for International Economics. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
Primary Market Bulletin 49
This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report -
FCA finds annuity market not working for consumers - Competition Market Study launched
There should be competition across the entire market, not just for those with the most money. ... 168,000 sold internally to existing customer. 24,000 sold through a tied arrangement with a provider. -
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.