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Showing 201 to 210 of 240 search results for referrals and identification.

201. FCA orders WealthTek Limited Liability Partnership to cease operations as High Court appoints Joint Special Administrators and arrest made

     News stories Published: 05/04/2023 Last modified: 14/09/2023
     BDO LLP to take interim control of WealthTek Limited Liability Partnership.

202. Consumer investments data review April 2021 – March 2022

     Data Published: 18/10/2022 Last modified: 13/06/2023
     A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 31 March 2022.

203. What are the lessons for insurance supervisors from the recent financial crisis?

     Speeches Published: 12/02/2013 Last modified: 09/04/2024
     Speech by Adair Turner, FSA Executive Chairman at the Swedish Central Bank.

204. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

     Thematic reviews Published: 21/07/2016 Last modified: 15/11/2016
     We have surveyed the UK equity marketplace, focusing on dark pools and broker crossing networks, by examining promotional activity and the identification and management of conflicts of interest by dark pool ... We examined the promotion undertaken by

205. Automated advice: existing rules and guidance

     Firms Published: 27/03/2022 Last modified: 10/02/2023
     Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered.

206. The Financial Conduct Authority publishes review into delivering ‘independent’ financial advice following the implementation of the Retail Distribution Review

     Press Releases Published: 20/03/2014 Last modified: 20/03/2014
     referrals to other advisers. the use of product panels. the use of platforms. ... referrals to discretionary investment services. This latest RDR-focused review from the FCA is part of the second of three cycles of thematic work, looking at how firms

207. Our emerging regulatory approach to Big Tech and Artificial Intelligence

     Speeches Published: 12/07/2023 Last modified: 12/07/2023
     Speech by Nikhil Rathi, our Chief Executive, delivered at The Economist, London.

208. PRA and FCA conclude investigations into senior managers in relation to the 2008 failure of HBOS plc

     Press Releases Published: 26/08/2022 Last modified: 26/08/2022
     PRA and FCA joint investigations into certain former senior managers at HBOS plc have now concluded with a decision by each of the Authorities’ independent decision-makers to take no further action.

209. Consumers struggling to understand structured products as Financial Conduct Authority calls for improvements from firms

     Press Releases Published: 05/03/2015 Last modified: 25/11/2021
     A behavioural economics research paper published today by the Financial Conduct Authority (FCA) has found that many consumers overestimate the expected returns on structured deposits.

210. Co-operation Agreement between the Financial Conduct Authority and the Hong Kong Monetary Authority

     Press Releases Published: 07/12/2016 Last modified: 07/12/2016
     The UK’s Financial Conduct Authority (FCA) and the Hong Kong Monetary Authority (HKMA) have entered into a Co-operation Agreement (Agreement) to foster collaboration between the two regulatory authorities in promoting financial innovation.