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Showing 311 to 320 of 576 search results for obligations under the Consumer Duty.
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Overview of the FCA prudential approach
Speech by Nausicaa Delfas, Director of Specialist Supervision at the FCA, delivered at the first FCA Prudential Supervision Forum. This is the text of the speech as drafted, which may differ from the delivered version. -
Financial watchdog fines Equifax Ltd £11 million for role in one of the largest cyber security breaches in history
FCA fines Equifax £11,164,400 for failing to manage and monitor the security of UK consumer data it had outsourced to its parent company based in the US. -
Cost of living consumer credit data collection
More information on the collection of data from consumer credit firms so we can monitor and assess the impact of the rising cost of living on consumers -
FCA fines Merrill Lynch £34.5 million for failing to report transactions
Merrill Lynch International (MLI) has been fined £34,524,000 by the Financial Conduct Authority (FCA) for failing to report 68.5 million exchange traded derivative transactions between 12 February 2014 and 6 February 2016. -
FCA proposes new measures to maintain firms’ focus on culture
The Financial Conduct Authority (FCA) will mark six months since the implementation of the Senior Managers’ and Certification Regime by providing feedback on implementation so far and proposing measures to further strengthen the regime. The -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
The future of open banking and the Joint Regulatory Oversight Committee
On 5 June 2023, the Joint Regulatory Oversight Committee set out an ambitious programme of work to take forward recommendations for the next phase of open banking in the UK. This includes the creation of two regulator-led working groups. The groups -
Preparing your firm's wind-down plan
Wind-down plans help firms exit the market in an orderly manner if their business is no longer viable. Find out when and how to prepare one for your firm. -
From intellectual certainty to debate
At the core of this debate, of course, is the City, which has both moral and legal obligations to advance the interests of clients and shareholders, as well as a wider ... Is there, as the report last week asked, a consumer protection issue here? -
FG24/1: Finalised guidance on financial promotions on social media
We clarify our expectations on how financial promotions are communicated on social media. We also summarise and respond to feedback to GC23/2.