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Showing 1511 to 1520 of 2511 search results for pensions advice.

  1. Park First Limited – information for investors

    News stories Published: 04/07/2019 Last modified: 17/10/2019
    Four companies in the Park First group entered administration on 4 July 2019. Find out what this means for investors.

  2. Consumer Duty webinar – consumer investment, pensions, asset management – transcript [pdf]

    Transcripts Published: 13/12/2022
    Consumer Duty webinar – consumer investment, pensions, asset management – transcript

  3. FCA requests information from firms about delivery of their ongoing advice services and the Consumer Duty

    Statements Published: 15/02/2024 Last modified: 15/02/2024
    FCA is collecting this information to assess what, if any, further regulatory work it may undertake in this area.

  4. Using the FSA’s investment advice and platforms suitability and disclosure assessment template [pdf]

    Archive Published: 26/03/2010 Last modified: 03/08/2016
    To help firms, we have published a suitability and disclosure assessment template and accompanying notes they can use to evaluate whether the advice given to clients to invest using a platform is suitable.

  5. Qualitative research to inform the Financial Advice Market Review (FAMR) baseline [pdf]

    External research Published: 30/06/2017
    This piece of consumer research supports our FAMR baseline report.

  6. Principles of good regulation

    About us How we regulate Published: 21/04/2016 Last modified: 20/07/2022
    The FCA considers the principles of good regulation when carrying out our work, and regulated firms must comply with our principles for businesses.

  7. FCA confirms new rules for P2P platforms

    Press Releases Published: 04/06/2019 Last modified: 04/06/2019
    Following consultation, the Financial Conduct Authority (FCA) is introducing rules designed to prevent harm to investors, without stifling innovation in the peer-to-peer (P2P) sector. When the FCA set its first rules for P2P, it committed to keep

  8. Asset management: A regulatory perspective

    Speeches Published: 26/04/2018 Last modified: 26/04/2018
    Speech by Andrew Bailey, Chief Executive at the FCA, delivered at London Business School Annual Asset Management Conference.

  9. Primary Market Bulletin 37

    Newsletters Published: 09/12/2021 Last modified: 09/12/2021
    In this edition we cover the implementation of our postponed rules that require issuers to publish their annual financial reports. We explain the importance of adequate business continuity procedures and review sponsor requirements to identify and

  10. Regulated retail investment adviser re-evaluation

    Statements Published: 05/09/2018 Last modified: 21/09/2018
    We believe that advisers having a good level of knowledge is the foundation to giving sound financial advice. ... This is particularly the case with the more technical aspects of financial advice.