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Showing 1431 to 1440 of 1891 search results for through Scamsmart.

  1. Monitoring orders and transactions – our expectations of firms

    Speeches Published: 31/01/2013 Last modified: 29/03/2013
    Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum

  2. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    is adequately mitigating market abuse risks holistically – be that through for example, a cyber-attack, or through their staff inappropriately sharing information outside the office. ... We are also concerned that firms are not considering these

  3. Update on independent review of Royal Bank of Scotland’s treatment of business customers in financial difficulty

    Statements Published: 17/01/2014 Last modified: 08/11/2016
    Answer:. RBS instructed law firm Clifford Chance to conduct a review of the principal allegation in the Tomlinson Report – that RBS, through its Global Restructuring Group, was culpable of “systematic and ... If customers have concerns about their

  4. Pay review 2024: Equality Impact Assessment

    Corporate documents Published: 09/07/2024 Last modified: 09/07/2024
    The FCA has carried out an Equality Impact Assessment to check the 2024 annual pay review did not disadvantage groups protected by the Equality Act 2010.

  5. CP23/10: Primary Markets Effectiveness Review – Feedback to DP22/2 and proposed equity listing rule reforms

    Consultation papers Published: 03/05/2023 Last modified: 03/05/2023
    We want your views on proposed rule changes to create a single listing category for shares in commercial companies. We also summarise feedback to our May 2022 Discussion Paper on the UK listing regime.

  6. CFD firms fail to meet our expectations on appropriateness assessments

    Multi-firm reviews Published: 29/06/2017 Last modified: 29/06/2017
    Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms.

  7. First firms to begin move to new data collection platform, RegData

    News stories Published: 23/09/2020 Last modified: 23/09/2020
    Following the Gabriel user survey we launched in July 2019, we met with survey respondents who expressed interest in engaging with us on the new system

  8. Beyond disclosure for high-risk investments: slow down and think

    Research articles Published: 02/02/2022 Last modified: 02/02/2022
    This article explores our research into risk warnings, decision points and self-certification, published in January 2021.

  9. Business interruption insurance test case: draft guidance for firms

    Policy and guidance Guidance consultations Published: 01/06/2020 Last modified: 01/06/2020
    FCA publishes draft guidance for firms on the business interruption insurance test case

  10. FCA bars Cypriot firms that used unauthorised celebrity endorsements

    Press Releases Published: 01/06/2020 Last modified: 01/06/2020
    The FCA has taken action to stop four Cypriot investment firms from continuing to offer high risk contracts for difference (CFDs) to UK investors