Search results
Showing 321 to 330 of 480 search results for principles of the Senior Managers Regime.
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Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
FCA finds further work required to fully embed ‘Guiding Principles’ for ESG and sustainable investment funds
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. -
Pension scams
Don’t let a scammer enjoy your retirement. Find out how pension scams work, how to avoid them, and what to do if you suspect a scam. -
The institutionalisation of customer service
Speech by Martin Wheatley - Managing Director, Conduct Business Unit at the Chartered Institute for Securities & Investment -
Regulation for a different world
Speech by our CEO, Nikhil Rathi, on Regulation for a Different World at the Association of Foreign Banks. -
Mortgage fraud
If you mislead a lender about the sale price of your home, you could be committing fraud. Find out how this crime works and how to protect yourself. -
2014 Disclosure Log
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 2014. -
Online trading scams
Find out how online trading scams work, how to avoid scams and what to do if you’re scammed. -
Sustainability disclosure and labelling regime
Information for firms and trade associations on sustainability disclosure requirements and the anti-greenwashing rule. -
Open regulators and open markets
Speech by Ashley Alder, Chair, delivered at the UK Mission to the European Union.