Publications

Showing 242 to 251 of 261 search results for dear ceo letters.

242. Dear CEO letters

     Find our published Dear CEO letters.

243. Dear CEO letter - The Establishment of Independent Governance Committees for Workplace Pension Schemes [pdf]

     Dear CEO letters

     Published: 23/02/2015

     Last modified: 04/12/2015

     The FCA sets out the responsibility for firms that operate group personal pension schemes or group stakeholder pension schemes to set up an Independent Governance Committee (or equivalent) by 6 April 2015.

244. PS15/3: Final rules for independent governance committees, including feedback on CP14/16

     Policy statements

     Published: 04/02/2015

     Last modified: 29/05/2018

     PS15/3: Final rules for independent governance committees, including feedback on CP14/16. Policy statements First published:. 04/02/2015. Last updated: 29/05/2018. Share page. PS15/3: Final rules for independent governance committees, including

245. Dear CEO letter - Retirement Reforms and the Guidance Guarantee: Intention to make rules before April 2015 in addition to those set out in PS 14/17 [pdf]

     Dear CEO letters

     Published: 26/01/2015

     Last modified: 26/01/2015

     The FCA announces its intention to make rules before April 2015 in addition to those set out in PS 14/17.

246. Dear CEO letter - FCA’s expectations of high-cost short-term lenders [pdf]

     Dear CEO letters

     Published: 21/01/2015

     Last modified: 02/12/2015

     FCA’s expectations of high-cost short-term lenders.

247. GC14/9 Multilateral Trading Facilities (MTFs) - Dear CEO Letter and FCA Good Practice Observations on MTF Rulebooks

     Guidance consultations

     Published: 01/12/2014

     Last modified: 01/12/2014

     GC14/9 Multilateral Trading Facilities (MTFs) - Dear CEO Letter and FCA Good Practice Observations on MTF Rulebooks. ... Following our thematic review, a Dear CEO Letter and FCA Good Practice Observations provide guidance on MAR 5 requirements relating

248. GC14/9 Multilateral Trading Facilities (MTFs) - Dear CEO Letter and FCA Good Practice Observations on MTF Rulebooks [pdf]

     Guidance consultations

     Published: 01/12/2014

     Last modified: 01/12/2014

249. PS14/18: Credit broking and fees

     Policy statements

     Published: 01/12/2014

     Last modified: 02/01/2015

     PS14/18: Credit broking and fees. Policy statements First published:. 01/12/2014. Last updated: 02/01/2015. PS14/18: Credit broking and fees. Our new rules on credit broking came into effect on 2 January 2015. We have significant concerns about the

250. GC14/7 Proposed guidance on financial crime systems and controls

     Guidance consultations

     Published: 14/11/2014

     Last modified: 30/08/2015

     GC14/7 Proposed guidance on financial crime systems and controls. Guidance consultations First published:. 14/11/2014. Last updated: 30/08/2015. Share page. GC14/7 Proposed guidance on financial crime systems and controls. We invite views on

251. TR14/16 – How small banks manage money laundering and sanctions risk: update

     Thematic reviews

     Published: 14/11/2014

     Last modified: 29/08/2025

     This report follows the Financial Services Authority’s 2011 report on Bank’s management of high money-laundering risk situations (the 2011 AML review) and the subsequent enforcement action and regulatory guidance.

252. Action required: review of Self Invested Personal Pensions (SIPP) operators [pdf]

     Dear CEO letters

     Published: 21/07/2014

     Last modified: 04/12/2015

     Action required: review of Self Invested Personal Pensions (SIPP) operators.