Publications

Showing 151 to 160 of 211 search results.

151. GC13/5 Supervising retail investment advice: inducements and conflicts of interest

     Guidance consultations

     Published: 18/09/2013

     Last modified: 21/10/2013

     GC13/5 Supervising retail investment advice: inducements and conflicts of interest. Guidance consultations First published:. 18/09/2013. Last updated: 21/10/2013. Share page. GC13/5 Supervising retail investment advice: inducements and conflicts of

152. GC13/3 Examples of good and poor practice in “Banks’ control of financial crime risks in trade finance” [pdf]

     Guidance consultations

     Published: 02/07/2013

     Last modified: 02/07/2013

     The proposed guidance sets out examples of good and poor practice to help banks strengthen their financial crime systems and controls in trade finance.

153. GC13/3 Examples of good and poor practice in ‘Banks’ control of financial crime risks in trade finance’

     Guidance consultations

     Published: 02/07/2013

     Last modified: 07/02/2022

     This proposed guidance relates to the following rule(s) in the FCA Handbook.

154. GC13/2 Dealing fairly with interest-only mortgage customers who risk being unable to repay their loan [pdf]

     Guidance consultations

     Published: 02/05/2013

     Last modified: 30/05/2013

     The guidance is based on the findings from the firm review, as well as other industry practice information we have received; it sets out what we expect firms to do to ensure the fair treatment of customers who are unable to repay the capital sum at

155. GC13/2 Dealing fairly with interest-only mortgage customers who risk being unable to repay their loan

     Guidance consultations

     Published: 02/05/2013

     Last modified: 03/10/2016

     GC13/2 Dealing fairly with interest-only mortgage customers who risk being unable to repay their loan. Guidance consultations First published:. 02/05/2013. Last updated: 03/10/2016. Share page. GC13/2 Dealing fairly with interest-only mortgage

156. GC13/1 Proposed guidance on oversight of member controls carried out by recognised investment exchanges (RIEs) and multi-lateral trading facilities (MTFs) [pdf]

     Guidance consultations

     Published: 23/04/2013

     Last modified: 30/05/2013

     Guidance is being issued following industry requesting clarification of FCA expectations.

157. GC13/1 Proposed guidance on oversight of member controls carried out by recognised investment exchanges (RIEs) and multi-lateral trading facilities (MTFs)

     Guidance consultations

     Published: 23/04/2013

     Last modified: 23/04/2013

     GC13/1 Proposed guidance on oversight of member controls carried out by recognised investment exchanges (RIEs) and multi-lateral trading facilities (MTFs). Guidance consultations First published:. 23/04/2013. Last updated: 23/04/2013. Share page.

158. FSA - GC13/3 [pdf]

     Guidance consultations

     Published: 20/03/2013

     Last modified: 12/07/2016

     Code of Practice for the relationship between the external auditor and the supervisor (‘the Code’)

159. FSA - GC13/3 Code of Practice for the relationship between the external auditor and the supervisor (‘the Code’)

     Guidance consultations

     Published: 19/03/2013

     Last modified: 31/10/2014

     FSA - GC13/3 Code of Practice for the relationship between the external auditor and the supervisor (‘the Code’). Guidance consultations First published:. 19/03/2013. Last updated: 31/10/2014. Share page. FSA - GC13/3 Code of Practice for the

160. FSA - GC12/11 [pdf]

     Guidance consultations

     Published: 17/03/2013

     Last modified: 11/07/2016

     We have developed this guidance to help firms identify and manage the risks from incentive schemes. The guidance sets out a number of ways, but not the only ways, firms can comply with the relevant requirements set out in the FSA Handbook.