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Showing 241 to 250 of 933 search results for requirements under the Consumer Duty.

  1. Review of firms' treatment of customers in vulnerable circumstances

    News stories Published: 15/03/2024 Last modified: 15/03/2024
    Under the Consumer Duty, firms should act to deliver good outcomes for all customers, including those with characteristics of vulnerability.

  2. Reporting requirements: insurance firms

    Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
    The Prudential Regulation Authority (PRA) is responsible for the prudential regulation of insurance companies. Learn more about the requirements for reporting.

  3. Key requirements of firms

    Firms Published: 30/09/2020 Last modified: 31/03/2022
    Firms should have prioritised these key requirements following the end of the transition period.

  4. Primary Market Bulletin 48

    Newsletters Published: 26/04/2024 Last modified: 26/04/2024
    This special edition consults on changes we propose to make to guidance in our Knowledge Base

  5. Financial promotions data 2021

    Data Published: 03/02/2022 Last modified: 10/01/2023
    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.

  6. The expanding scope of individual accountability for corporate misconduct

    Speeches Published: 03/04/2017 Last modified: 05/04/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement

  7. Notification requirements in the Money Laundering Regulations for FSMA authorised firms

    Tasks for regulated firms Published: 27/06/2017 Last modified: 21/02/2023
    Firms authorised under Financial Services and Markets Act (FSMA) who we supervise under the Money Laundering Regulations are required to tell us if they carry out certain activities. Read more on who this applies to and how to tell us.

  8. Binary options scams

    Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
    Find out how binary options work, how to avoid scams and what to do if you’re scammed.

  9. Information for newly authorised firms

    Published: 30/09/2022 Last modified: 25/05/2023
    As a newly authorised firm, learn about the systems you'll use and important things you need to know.

  10. FSA requires action of the HSBC Group

    Documents Published: 08/03/2013 Last modified: 15/08/2014
    The Financial Services Authority (FSA), as lead regulator for the HSBC Group globally, is taking action in relation to issues in respect of HSBC’s compliance with anti-money laundering rules and US sanctions requirements.