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Showing 51 to 60 of 576 search results for obligations under the Consumer Duty.

  1. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    that the recipient of the information understood and accepted that they were subject to a proper obligation of confidentiality. ... in a broader range of circumstances than the FCA’s guidance under the Disclosure and Transparency Rules seemed to allow.

  2. FCA finds further work required to fully embed ‘Guiding Principles’ for ESG and sustainable investment funds

    Press Releases Published: 16/11/2023 Last modified: 16/11/2023
    A review by the FCA has found that while most Authorised Fund Managers (AFMs) have made efforts to comply with the FCA’s expectations on the design, delivery, and disclosure of their ESG and sustainable funds, further improvement is needed.

  3. Overview of competition at the FCA

    Speeches Published: 03/08/2017 Last modified: 03/08/2017
    Speech by Mary Starks, Director of Competition and Economics at the FCA, delivered at Credit Suisse.

  4. Ensuring the fair treatment of customers in vulnerable circumstances

    Firms Published: 16/06/2022 Last modified: 16/06/2022
    The positive steps firms have taken to embed FCA guidance and the areas where we expect to see improvement.

  5. Financial Services & Markets Act 2023 gives FCA new powers to protect access to cash

    Statements Published: 18/08/2023 Last modified: 18/08/2023
    FCA’s new powers are an important step towards maintaining reasonable provision of cash deposit and withdrawal services.

  6. 2019 Disclosure Log

    Last modified: 20/03/2024
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2019. 

  7. LIBOR: preparing for the end

    Speeches Published: 15/07/2019 Last modified: 15/07/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Securities Industry and Financial Markets Association's (SIFMA) LIBOR Transition Briefing in New York, USA.

  8. It's time for an Enlightenment on financial inclusion

    Speeches Published: 29/09/2023 Last modified: 29/09/2023
    Speech by Nikhil Rathi, the FCA's Chief Executive, delivered at PwC Glasgow for the Scottish Financial Enterprise: Extending Financial Inclusion event.

  9. London FinTech Week 2016 - innovation in RegTech

    Speeches Published: 25/07/2016 Last modified: 31/10/2016
    Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at London FinTech Week 2016.

  10. Loan-based crowdfunding platforms: summary of our rules

    New firm authorisation Published: 11/05/2015 Last modified: 13/08/2021
    The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities.