Search results
Showing 71 to 80 of 240 search results for referrals and identification.
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Cyber security – industry insights
We have published a document bringing together industry insights on cyber resilience. Cyber risks pose a threat to consumers and markets, and part of the FCA’s role is to help firms become more resilient to cyber-attacks, so reducing the risk and -
FCA response to the Davis Review
We have introduced substantial improvement in the procedures relating to the identification, control and release of price sensitive information. -
Operational resilience: insights and observations for firms
Make sure your firm is ready to comply with the FCA's operational resilience rules by 31 March 2025. Use our observations to help review your firm’s approach. -
Financial promotions data 2021
The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for January 2021 to 31 December 2021. -
A test of conscience
Forms of identification, for example, as well as impaired or unusual credit histories, medical histories, specific age profiles and so on. -
Market Watch 79
Newsletter on market abuse surveillance and data governance, surveillance failures and the FCA's model testing peer review, May 2024. -
Proxy advisors
Proxy advisors offer research, advice or recommendation services. Read more about the Proxy Advisors Regulations, joining our public list and reporting breaches. -
Sponsor conflicts of interest
Our rules require sponsors to identify and manage different conflicts of interest. Learn about our involvement in assessing conflicts. -
CP21/30: Debt packagers: proposals for new rules
We seek views on proposed new rules to ban debt packagers from receiving referral fees from debt solution providers. -
Scheme documents
You must submit the latest versions of scheme documents to us, including when changes are made, and follow our naming conventions and scheme numbers.