Search results
Showing 81 to 90 of 1909 search results for under the Consumer Duty.
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2014 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2014. -
Approving financial promotions
Firms which approve financial promotions must ensure those promotions follow FCA rules. Find out about approving financial promotions of unauthorised persons. -
Prescribed Persons Annual Report 2022/23
The FCA is reporting on the whistleblowing disclosures made to it, under the Prescribed Persons Regulations 2017 covering April 2022 to 31 March 2023. -
PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms
PS18/16: The Duty of Responsibility for insurers and FCA solo-regulated firms. ... Under the Duty of Responsibility, we can take enforcement action against Senior Managers if:. -
Apply to be an authorised AIFM
Learn how to apply to us to become a full-scope AIFM or a small authorised AIFM, including what permissions you'll need and how much you'll need to pay. -
Apply to be a registered AIFM
Learn how to apply to us to be a small registered Alternative Investment Fund Manager (AIFM), including SEF and RVECA managers. -
Tackling the hard questions
Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016. -
Who we work with
Find out more about the UK agencies, government departments, Designated Professional Bodies and other regulators the FCA cooperates with. -
Transparency
The FCA sets out to be open and accountable, so we can be scrutinised by consumers, firms and Parliament. -
Apply to become an electronic money or a payment institution
Find out how to apply to the FCA if your firm wants to provide payment services, issue e-money or become a registered account information service provider.