Publications
Search results
Showing 11 to 20 of 124 search results.
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Multi-firm review of client categorisation in corporate finance firms: high-level observations
We reviewed firms’ compliance with COBS3 client categorisation rules and COBS4 certification requirements. We found gaps in firms’ assessments and records. -
Combating romance fraud – prevention, detection and supporting victims
The FCA sets out key findings from its review of how firms detect and prevent romance fraud, and the measures they take to protect their customers against it. -
Multi-firm review of algorithmic trading controls: high-level observations
The FCA reviewed a sample of principal trading firms to assess their compliance with MiFID Regulatory Technical Standards (RTS) 6 and identify any areas of weakness in firms’ algorithmic control frameworks. -
Life insurers’ pension transfer process – review
Findings from our multi-firm review of life insurers’ pension transfer process. -
Share buybacks in UK listed equities: Multi-firm review [pdf]
The FCA sampled 7 banks active in share buybacks. The banks were asked to complete an information request, followed up with questions and meetings. -
Transaction governance in wholesale banks – review
Our findings from a review of transaction governance. -
Multi-firm review into off-channel communications
Our findings on firms’ approach to off-channel communications. -
Climate reporting by asset managers, life insurers and FCA-regulated pension providers
The FCA sets out the findings and next steps following its review into firms' climate reporting in line with its rules. -
Quality controls in benchmarks sector – review
Findings and lessons learned from FCA review of how benchmark administrators manage data risks. -
Motor insurance claims analysis
We set out our findings on the causes of increased premiums, particularly increased claims costs, to support the work of the Motor Insurance Taskforce.