Publications

Showing 14061 to 14070 of 18852 search results.

14061. CP15/10: Strengthening accountability in banking: UK branches of foreign banks [pdf]

       Consultation papers

       Published: 16/03/2015

       Last modified: 14/09/2015

       We are consulting on proposals to apply the new individual accountability regime for banks, building societies, credit unions and PRA-designated investment firms (relevant authorised persons) to individuals working in UK branches of foreign banks

14062. CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals – Feedback on FCA CP14/13 / PRA CP14/14 and consultation on additional guidance [pdf]

       Consultation papers

       Published: 16/03/2015

       Last modified: 14/09/2015

14063. GC15/1 Risks to customers from performance management at firms [pdf]

       Guidance consultations

       Published: 16/03/2015

       Last modified: 16/03/2015

       The focus of this proposed guidance is on the risks that are posed to consumers by inappropriate practices.

14064. CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals

       Consultation papers

       Published: 16/03/2015

       Last modified: 14/09/2015

       CP15/9: Strengthening accountability in banking: a new regulatory framework for individuals. Consultation papers First published:. 16/03/2015. Last updated: 14/09/2015. Share page. CP15/9: Strengthening accountability in banking: a new regulatory

14065. GC15/1 Risks to customers from performance management at firms

       Guidance consultations

       Published: 16/03/2015

       Last modified: 16/03/2015

       GC15/1 Risks to customers from performance management at firms. Guidance consultations First published:. 16/03/2015. Last updated: 16/03/2015. Share page. GC15/1 Risks to customers from performance management at firms. The focus of this proposed

14066. CP15/10: Strengthening accountability in banking: UK branches of foreign banks

       Consultation papers

       Published: 16/03/2015

       Last modified: 14/09/2015

       CP15/10: Strengthening accountability in banking: UK branches of foreign banks. Consultation papers First published:. 16/03/2015. Last updated: 14/09/2015. CP15/10: Strengthening accountability in banking: UK branches of foreign banks. We are

14067. Final Notice 2015: Stephen Edward Bell [pdf]

       Final notices

       Published: 13/03/2015

       Last modified: 31/03/2015

       This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We

14068. Final Notice 2015: Sam Thomas Kenny [pdf]

       Final notices

       Published: 13/03/2015

       Last modified: 13/03/2015

       This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition.

14069. FG15/4: Social media and customer communications: The FCA’s supervisory approach to financial promotions in social media [pdf]

       Finalised guidance

       Published: 13/03/2015

       Last modified: 13/03/2015

       FCA’s supervisory approach to financial promotions in social media.

14070. FG15/4 - Social media and customer communications: The FCA’s supervisory approach to financial promotions in social media

       Finalised guidance

       Published: 13/03/2015

       Last modified: 26/03/2024

       In August 2014, we consulted on our approach to the supervision of financial promotions in social media.