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Showing 382 to 391 of 1404 search results for section of the Financial lives.

382. 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.

383. FOI8512 Annex A [xlsx]

     FOI releases Published: 11/03/2022
     The FCA provides data on Skilled persons reviews commissioned under section 166 of the Financial Services and Markets Act 2000 (FSMA).

384. FG13/2:Guidance for Regulated Persons and The Financial Ombudsman Service on making a reference under s.234D [pdf]

     Finalised guidance Published: 25/06/2013 Last modified: 20/10/2014
     This guidance aims to help regulated persons and the Ombudsman Service to make comprehensive and robust references so that we may respond in a manner that addresses the concerns most appropriately.

385. FOREX CAPITAL TRADE

     Warnings Published: 17/02/2022 Last modified: 17/02/2023
     FOREX CAPITAL TRADE is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

386. RegTech

     Tasks for firms Focus areas Published: 11/09/2017 Last modified: 12/04/2024
     RegTech applies to new technologies developed to help overcome regulatory challenges in financial services.

387. 465 View Options

     Warnings Published: 03/04/2023 Last modified: 26/09/2023
     465 View Options is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

388. Consumer Duty resources

     Tasks for firms Published: 01/11/2023 Last modified: 16/05/2024
     Find publications about the introduction of the Consumer Duty including news, speeches and podcasts.

389. 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).

390. Carbon credit trading scams

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

391. Final Notice 2021: Simon John Varley [pdf]

     Final notices Published: 15/04/2021
     This Final Notice refers to Section 63A FSMA and breaches relating to APER 1 and FIT relating to a lack of honesty and integrity in the investment advisory sector. We imposed a fine and a prohibition.

392. UK Securities Financing Transactions Regulation (UK SFTR)

     Markets Markets policy Published: 11/03/2020 Last modified: 31/03/2022
     The UK Securities Financing Transactions Regulation (SFTR) introduces requirements to improve transparency and monitor the risks associated with the securities financing transactions market.