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Showing 281 to 290 of 2126 search results for occasional papers.

  1. RegTech

    Tasks for firms Focus areas Published: 11/09/2017 Last modified: 12/04/2024
    RegTech applies to new technologies developed to help overcome regulatory challenges in financial services.

  2. UK recovery and resolution

    Firms Published: 24/05/2016 Last modified: 10/02/2023
    Read about the recovery and resolution regime for certain firms that we prudentially regulate, including which firms are affected and what you need to do.

  3. 2019 fines

    News stories Published: 16/01/2019 Last modified: 20/01/2020
    This page contains information about enforcement fines published during the calendar year ending 2019.

  4. Making and receiving payments

    Consumers Published: 18/04/2016 Last modified: 13/06/2022
    Find out about your rights when payments are made to and from your bank account, and how long it should take to make or receive a payment.

  5. Dealing commission

    Speeches Published: 10/07/2014 Last modified: 10/07/2014
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA conference on dealing commission in London. This is the text of the speech as drafted, which may differ from the delivered version.

  6. 2015 fines

    News stories Published: 02/01/2015 Last modified: 04/04/2017
    This table contains information about fines published during the calendar year ended December 2015. The total amount of fines is £905,219,078.

  7. DP23/1: Finance for positive sustainable change: governance, incentives and competence in regulated firms [pdf]

    Discussion papers Published: 10/02/2023
    The aim of this Discussion Paper is to encourage an industry‑wide dialogue on firms’ sustainability‑related governance, incentives, and competencies.

  8. Vote Reporting: A consultation and discussion paper from the Vote Reporting Group

    Consultation papers Published: 21/06/2023 Last modified: 22/09/2023
    This Vote Reporting Group consultation proposes a voluntary, standardised and comprehensive ‘vote reporting template’ for asset managers to communicate to asset owner clients on their voting activity.

  9. Depositaries

    Focus areas Published: 08/06/2016 Last modified: 01/02/2023
    How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

  10. Mutual societies: forms

    Tasks for firms Published: 01/08/2015 Last modified: 03/04/2024
    Find the forms you need to apply to register as a mutual society and send us updates.
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