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Showing 1082 to 1091 of 1406 search results for section of the Financial lives.

1082. Financial Lives survey

      Based on nearly 13,000 face-to-face and online interviews, Financial Lives is our largest tracking survey of adults and their finances. It reveals a wealth of information about different types of consumer and their experiences of financial products and services.

1083. Reforming our capital markets ecosystem

      Speeches Published: 29/03/2023 Last modified: 08/01/2024
      Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit.

1084. Call for Input: Supporting the development and adoption of RegTech

      News stories Published: 23/11/2015 Last modified: 06/04/2016
      Following the financial crisis, we recognise that firms have to deal with greater reporting requirements and meet higher regulatory standards. ... This paper will be of particular interest to businesses looking to use FinTech and RegTech for providing

1085. Information on correspondence between unions and any employee of the FCA treated as phishing - November 2021

      FOI Release Date of Release: 30/11/2021
      FCA provides emails that, in part, set out the decisions taken in relation to the phishing controls that were applied to correspondence between Unite and employees within the FCA.

1086. FCA commences criminal prosecution against Phillip Boakes in relation to an unauthorised investment scheme

      Press Releases Published: 23/07/2014 Last modified: 23/07/2014
      The alleged offences are as follows:. Accepting deposits without authorisation or exemption, contrary to sections 19 and 23 of the Financial Services and Markets Act 2000. ... Three counts of using a false instrument, contrary to section 3 of the Forgery

1087. Information on enforcement investigations under SMR - June 2022

      FOI Release Date of Release: 06/06/2022
      The FCA answers multiple questions on enforcement investigations under the Senior Managers and Certification Regime.

1088. Alexander David Securities Limited enters liquidation

      News stories Published: 04/07/2022 Last modified: 14/10/2022
      On 1 July 2022 Alexander David Securities Limited (ADSL) entered creditors’ voluntary liquidation and Shane Cooks, Emma Sayers and Malcolm Cohen of BDO LLP were appointed as joint liquidators.

1089. Diversity and inclusion: Our role as a regulator

      About us Published: 09/09/2020 Last modified: 25/09/2023
      We want to see greater levels of diversity and inclusion across the UK financial sector. Read about the work the FCA is doing to drive change in this area.

1090. Guidance for crypto firms to help them comply with marketing rules 

      News stories Published: 02/11/2023 Last modified: 02/11/2023
      Following a change in legislation, cryptoassets promotions targeting UK consumers now fall within our remit

1091. Review of host Authorised Fund Management firms

      Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
      We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

1092. Why diversity and inclusion are regulatory issues

      Speeches Published: 17/03/2021 Last modified: 13/09/2021
      Speech by our CEO, Nikhil Rathi, at the launch of the HM Treasury Women in Finance Charter Annual Review.