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Showing 421 to 430 of 13194 search results for new Consumer Duty.

421. FCA: New strategic approach to ensure “sharper focus” to regulatory challenges ahead

     Press Releases Published: 08/12/2014 Last modified: 08/12/2014
     Several structural changes to how the organisation works will complement this new approach. ... A new Risk Division to provide a strategic approach to the management of internal and external risk.

422. CP17/40: Individual accountability: Transitioning FCA firms and individuals to the Senior Managers & Certification Regime

     Consultation papers Published: 13/12/2017 Last modified: 22/02/2018
     This includes transitional provisions to give firms time adapt to the new regime. ... Consumers may be interested how individual accountability is being enhanced within financial services.

423. PS14/16: Detailed rules for the price cap on high-cost short-term credit - Including feedback on CP14/10 and final rules

     Policy statements Published: 11/11/2014 Last modified: 07/02/2022
     On 2 January 2015, we introduced a price cap on what high-cost short-term credit lenders can charge.

424. PS15/3: Final rules for independent governance committees, including feedback on CP14/16

     Policy statements Published: 04/02/2015 Last modified: 29/05/2018
     consumers who are members of workplace personal pension schemes and consumer groups seeking better protection for consumers with workplace personal pensions. ... IGCs will be new governance bodies and we will want to ensure that they are operating

425. Trust and confidence - ensuring firms’ ethics are built around their customers

     Speeches Published: 12/11/2013 Last modified: 12/11/2013
     Speech by Clive Adamson, Director of Supervision, at the Insurance Institute of London, London. This is the text of the speech as drafted, which may differ from the delivered version.

426. Implementing MiFID II – multi-firm review of research unbundling reforms

     Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
     Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how

427. The FCA’s new competition powers: what do they mean for the financial services industry?

     Speeches Published: 21/11/2014 Last modified: 09/11/2016
     Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

428. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

     Press Releases Published: 01/09/2016 Last modified: 06/03/2017
     The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification

429. FCA to consult on use of 'side pockets' for retail funds with exposure to sanctioned and suspended Russian assets

     Statements Published: 16/03/2022 Last modified: 16/03/2022
     The FCA has begun discussions with stakeholders about options to allow UK authorised retail funds to make exceptional use of 'side pockets' given the significant practical challenges in disposing of Russian and Belarussian assets in the context of

430. FCA bans Paul Steel for unsuitable defined benefit transfer advice with £850k to be paid in redress

     Press Releases Published: 04/07/2023 Last modified: 04/07/2023
     The FCA has banned Paul Steel of Estate Matters Financial Ltd (EMF) from working in financial services.