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Showing 41 to 50 of 240 search results for referrals and identification.

41. MoU between the FCA and Claims Management Regulator (part of the Ministry of Justice) (CMR) [pdf]

    Memorandums of understanding Published: 01/04/2013 Last modified: 30/05/2013
    The MoU with the Claims Management Regulator, which sits within the Ministry of Justice. Two drivers are forming a stronger relationship due to the growing influence of claims management firms in the PPI redress space and ensuring we are joined up

42. FSA - Guidance Note No. 11 [pdf]

    Guidance consultations Published: 17/02/2011 Last modified: 02/05/2013
    As part of this work we have initiated a series of expert groups designed to bring together the FSA and operational risk practitioners at firms to share ideas on current practice, weaknesses, and possible improvements.

43. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    The first three of the 5 Conduct Questions focus on the identification of conduct risk; ensuring that staff within regulated firms feel and are responsible for managing the conduct of their ... That is why developing the effective ‘conduct risk

44. Update on debt packager proposals

    Statements Published: 05/12/2022 Last modified: 05/12/2022
    In November 2021, we consulted (CP 21/30) on new rules and guidance to ban debt packagers from receiving fees or other remuneration for referrals to debt solution providers.

45. Market Watch 71

    Newsletters Published: 13/12/2022 Last modified: 13/12/2022
    In this edition we share our observations about changes in advisory firms’ insider lists since the publication of Market Watch 60.

46. Cost of Living: good and poor practice in the general insurance market

    Good and poor practice Published: 03/07/2023 Last modified: 03/07/2023
    We have reviewed how home and motor insurers are supporting customers in financial difficulty and handling claims. We found examples of good practice, but also areas where firms need to improve.

47. Accessibility statement

    Last modified: 30/06/2023
    Read the accessibility statement for fca.org.uk

48. FCA decides to ban Tom Hayes

    Press Releases Published: 08/11/2017 Last modified: 08/11/2017
    The Financial Conduct Authority (FCA) has decided to prohibit Tom Hayes from performing any function in relation to any regulated activity in the financial services industry. The FCA considers that Mr Hayes is not a fit and proper person as a result

49. UK SFTR news

    Published: 05/03/2021 Last modified: 23/10/2023
    Read FCA news updates on the UK Securities Financing Transactions Regulation (UK SFTR).

50. Key workers in financial services

    Firms Published: 20/03/2020 Last modified: 10/11/2020
    We set out steps firms should take to help identify key workers in financial services.