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Showing 701 to 710 of 756 search results for needs of their vulnerable customers and should consider.
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A forward look at regulation of the UK’s wholesale financial markets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the ISLA's Post Trade Conference on 16 March. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
Investor engagement in a changing regulatory landscape
This should create a clear opportunity for research from more specialised providers, including in the coverage of SMEs. ... as to what the concerns are, whether any intervention is necessary, and if so what form that intervention should take. -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
Open-ended funds investing in less liquid assets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy, to Investment Association members. -
Consumer warning about the risks of investing in binary options
The FCA is issuing this warning to inform consumers about the risk of investing in these high-risk, speculative products. From 3 January 2018, firms offering binary options in or from the UK must be authorised by the FCA. -
Meeting the challenge in our changing global markets
Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at the UK Finance and EY: Capital Markets insights launch conference. -
Updating and improving the UK regime for asset management: our priorities
Speech by Ashley Alder, Chair, delivered at the Investment Association’s Annual Dinner. -
FS21/2: Approach to Repossessions: Updated Tailored Support Guidance for firms - Feedback on draft guidance for mortgages and consumer credit
We have updated our guidance to firms on our approach to repossessions from 31 January 2021. -
The Financial Conduct Authority to gather evidence on how the PPI complaints process is working
Making such complaints is free to consumers and there is no need to use a claims management company. ... Additionally, firms are proactively sending over 5m letters to customers they have identified as being at high risk of having suffered a past