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Showing 1851 to 1860 of 2126 search results for occasional papers.

  1. TR15/1: Asset management firms and the risk of market abuse

    Thematic reviews Published: 18/02/2015 Last modified: 10/11/2023
    This paper presents our findings from the thematic review of how asset management firms control the risk of committing market abuse.

  2. An evaluation of our guaranteed asset protection insurance intervention

    Corporate documents Published: 31/07/2018 Last modified: 20/12/2018
    In this paper, we evaluate our September 2015 add-on guaranteed asset protection (GAP) insurance intervention.

  3. Financial Conduct Authority consults on changes to PPI complaint handling rules

    Press Releases Published: 26/11/2015 Last modified: 26/11/2015
    The consultation paper also outlines the proposed consumer communications campaign and how it is proposed this be funded. ... Those with views on the proposals set out in the consultation paper have three months to respond.

  4. FCA sets out expectations for investment managers on dealing commission

    Press Releases Published: 08/05/2014 Last modified: 08/05/2014
    The policy statement on dealing commission, and related consultation paper.

  5. FCA sets out its approach to financial promotions in social media

    Press Releases Published: 06/08/2014 Last modified: 06/08/2014
    Alternatively, it may be more appropriate to use ‘image advertising’. The consultation paper sets out in further detail specific areas that firms need to consider, and provides some solutions and illustrative ... The guidance consultation paper:

  6. PS23/19: Margin requirements for non-centrally cleared derivatives: Amendments to BTS 2016/2251

    Policy statements Published: 18/12/2023 Last modified: 18/12/2023
    PRA and FCA's final policy and feedback to responses following their joint consultation paper.

  7. Digital Regulatory Reporting: Phase 2 Viability Assessment [pdf]

    Discussion papers Published: 07/01/2020
    This Viability Assessment reflects the work undertaken in this second phase of the Digital Regulatory Reporting (DRR) pilot, but also draws on the learnings and insights from Phase 1. The focus of Phase 2 of the DRR pilot was partly to gather

  8. CP17/38: Regulatory fees and levies: policy proposals for 2018/19

    Consultation papers Published: 13/11/2017 Last modified: 20/02/2018
    This consultation paper (CP) sets out our proposed policy changes on how FCA fees will be raised from 2018/19.

  9. FS21/8: Feedback to consultation paper on liquidity mismatch in authorised open-ended property funds

    Feedback statements Published: 07/05/2021 Last modified: 07/05/2021
    We consulted on reducing the potential for investor harm where the terms for dealing in some property funds are not aligned with the time it takes to buy or sell the buildings in which the funds invest in.

  10. DP22/3: Operational resilience: critical third parties to the UK financial sector

    Discussion papers Published: 21/07/2022 Last modified: 11/04/2023
    In this joint Discussion Paper with the Prudential Regulation Authority and the Bank of England, we share our views – and ask for yours – on potential ways to manage the systemic risks to our objectives posed by certain third parties.
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