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Showing 621 to 630 of 829 search results for senior managers regime.
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FCA sets out plan to tackle investment harm
The FCA has published a new strategy aimed at giving consumers the confidence to invest, supported by a high-quality, affordable advice market, which should lead to fewer people being scammed or persuaded to invest in products too risky for their -
Understanding complaints root cause analysis
We recognise that firms of different size, scale and complexity have different systems for complaints. It is important for complaints root cause analysis (RCA) to distinguish between a symptom and the root cause of a complaint. This hypothetical -
An update on our approach to authorisation and our Brexit preparations
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Autumn Conference. -
From regulator to firm to consumer: a virtuous chain of events
Speech by Georgina Philippou, Senior Adviser to the FCA on the Public Sector Equality Duty, delivered at the Building Ethnic Diversity and Inclusion in Investment Management - Report Launch. -
Consumer investments data review 2020
A summary of the FCA's work to tackle consumer harm in the investment market, between 1 January and 31 October 2020. -
Loan-based crowdfunding platforms: summary of our rules
The following rules may be relevant for firms operating in the loan-based crowdfunding (including peer-to-peer and peer-to-business) market when considering their investment activities. -
Class, cliques and social codes: doing more on diversity
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Cambridge Centre for Alternative Finance annual conference, Judge Business School. -
Investment Funds, Markets Liquidity and the Investor
Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at The 9th Financial Risk International Forum in Paris on 21 March 2016. This is the text of the speech as drafted, which may differ from the delivered version. -
Sustainability disclosure and labelling regime
Information for firms and trade associations on sustainability disclosure requirements and the anti-greenwashing rule. -
Asset management portfolio tools
This report sets out our review findings of how firms in the asset management sector selected and used risk modelling and other portfolio management tools.