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Showing 1621 to 1630 of 2645 search results for vulnerable customers.
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The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Expect the unexpected: cyber security in 2017 and beyond
Speech by Nausicaa Delfas, Executive Director at the FCA, delivered at the Financial Information Security Network. -
Reporting concerning pension transfer requests
Information for pension schemes or trustees who have carried out checks and have serious concerns about a pension transfer. -
Senior Managers and Certification Regime: one year on
The FCA marks one year since we introduced of the Senior Managers and Certification Regime. -
Mortgages and coronavirus - enabling positive consumer outcomes
Jonathan Davidson, Executive Director of Supervision Retail and Authorisations, speech delivered online as introduction to Mortgage Forbearance Webinars, 30 September 2020. -
FCA publishes thematic review of annuity sales practices
The Financial Conduct Authority (FCA) publishes the findings of its thematic review of non-advised annuity sales practices. The FCA wanted to establish whether firms provided customers with sufficient information about enhanced annuities. -
Portfolio strategy letter wealth management and stockbroking supervision strategy [pdf]
This letter sets out FCA's view of the key risks of harm that Wealth Management and Stockbroking firms pose to their customers or the markets in which they operate. Firms should consider whether their firm presents these risks and consider their -
Darren Newton banned by the FCA for misappropriating client money
The Financial Conduct Authority (FCA) has today published a Decision Notice, which sets out its decision to ban Darren Lee Newton from working in any regulated activity in the financial services sector. -
IFPR implementation observations: quantifying threshold requirements and managing financial resources
Firms should consider these and how they can strengthen their processes. -
Meeting the challenge in our changing global markets
Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at the UK Finance and EY: Capital Markets insights launch conference.