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Showing 11 to 20 of 933 search results for requirements under the Consumer Duty.

  1. Apply to be an authorised AIFM

    Markets Published: 05/06/2016 Last modified: 05/07/2023
    Learn how to apply to us to become a full-scope AIFM or a small authorised AIFM, including what permissions you'll need and how much you'll need to pay.

  2. Benchmarks supervision

    Markets Published: 22/04/2016 Last modified: 14/12/2022
    Benchmark administrators and supervised contributors are overseen by the Benchmarks Supervision team. Learn more about notifications and providing information.

  3. Consumer Duty implementation plans

    Focus areas Multi-firm reviews Published: 25/01/2023 Last modified: 25/01/2023
    The Consumer Duty will set higher and clearer standards of consumer protection across financial services and require firms to act to deliver good outcomes for customers. The FCA sets out here the findings from their review of firms’ plans to embed

  4. Insurance: business practice, suitability and eligibility

    Tasks for regulated firms Published: 09/02/2016 Last modified: 04/12/2016
    The rules in ICOBS 7 were amended so they were closer to the wording in the Distance Marketing of Consumer Financial Services Directive (DMD). The requirements applying to insurers are unchanged.

  5. Client assets and coronavirus (Covid-19)

    Firms Tasks for regulated firms Published: 06/04/2020 Last modified: 13/02/2023
    Summary of queries we have received and our position on client assets (CASS) compliance related to the current disruption caused by coronavirus (Covid-19).

  6. Guidance on the duty of responsibility: PS17/9

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    In this Policy Statement, we set out guidance in the Decision Procedure and Penalties Manual (DEPP) on how we will enforce the ‘duty of responsibility’.

  7. Consumer Duty: the art of the possible in a year

    Speeches Published: 20/02/2024 Last modified: 20/02/2024
    Speech by Sheldon Mills, FCA Executive Director of Consumers & Competition on the Consumer Duty at KPMG.

  8. Immigration Act 2014

    Tasks for firms Published: 10/11/2015 Last modified: 29/02/2024
    The FCA explains how the Immigration Act 2014 prohibits banks and building societies from opening current accounts for people who are known not to have leave to remain in or to enter the UK.

  9. A credit market that delivers for consumers

    Speeches Published: 27/04/2023 Last modified: 27/04/2023
    Speech by Roma Pearson, Director of Consumer Finance, delivered at Credit Summit 2023.

  10. Maturing dormant Child Trust Fund accounts

    Investment managers Published: 09/11/2020 Last modified: 09/11/2020
    Information for Child Trust Fund (CTF) providers on the treatment of dormant accounts at maturity, including legislative changes and how to apply for a modification by consent if a client can’t be contacted.