Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 241 to 250 of 576 search results for obligations under the Consumer Duty.

  1. Repeal and replacement of assimilated law

    Firms Published: 13/07/2023 Last modified: 01/05/2024
    Documents on the repeal and replacement of provisions in the retained EU law.

  2. Personal data and mutuals registration

    Last modified: 22/02/2023
    How and why the FCA uses personal data that is collected for mutuals registration.

  3. DP15/1: UK Listing Authority fees: covering the cost of regulation

    Discussion papers Published: 20/02/2015 Last modified: 30/08/2015
    This paper sets out some options for discussion on how we should recover the costs we incur when carrying out our duties. ... company that has been approved by the FCA to act as a sponsor advising premium listed companies on their obligations under the

  4. Professional standards: advisers

    Tasks for firms Published: 21/12/2015 Last modified: 13/05/2024
    FCA provides professional standards that all advisers should meet

  5. Global regulation in the post-crisis era

    Speeches Published: 30/06/2016 Last modified: 01/07/2016
    Speech by John Griffith-Jones, Chairman, FCA, delivered at the TheCityUK Annual Conference on 30 June 2016.

  6. Creditworthiness and affordability: common misunderstandings

    Tasks for regulated firms Published: 26/06/2015 Last modified: 10/02/2023
    There are some common misconceptions among consumer credit firms as to what the FCA rules on creditworthiness and affordability mean. They explain some of the main points and what firms should do to comply with their rules.

  7. FCA reminds firms to regularly review regulatory permissions

    Statements Published: 18/01/2021 Last modified: 18/01/2021
    We are reminding firms of their obligation to regularly review regulatory permissions to ensure they are up to date and removed where they are not needed.

  8. Lamprell plc fined £2,428,300 for systems and controls failings

    Press Releases Published: 18/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial

  9. Climate change and sustainable finance

    Published: 19/04/2021 Last modified: 24/06/2024
    The FCA's work on climate change and other environmental, social and governance (ESG) issues.

  10. Investor protection under MiFID II

    Speeches Published: 20/10/2015 Last modified: 20/10/2015
    Speech by David Geale, Director of Policy, FCA, delivered at the FCA MiFID II Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.