Publications

Showing 4861 to 4870 of 18806 search results.

4861. Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine

      Good and poor practice

      Published: 06/09/2023

      Last modified: 20/03/2024

      We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions.

4862. CP23/19: Future Regulatory Framework - The Insurance Distribution Directive [pdf]

      Consultation papers

      Published: 05/09/2023

      CP23/19: Future Regulatory Framework - The Insurance Distribution Directive.

4863. Notice of Decision 2023: J J Shannon Ltd [pdf]

      Decision notices

      Published: 05/09/2023

      Last modified: 23/10/2023

      This Notice of Decision refers to a failure to carry on regulated activities. We imposed a cancellation.

4864. Hospitality and gifts log, April - June 2023 [pdf]

      FOI releases

      Published: 05/09/2023

      Hospitality and gifts received by the FCA’s Chairman, Executive Members of the FCA Board, Executive Committee Members and Non-Executive Directors.

4865. Review of the treatment of domestic politically exposed persons (PEPs): terms of reference [pdf]

      Corporate documents

      Published: 05/09/2023

      Terms of reference for the FCA’s review of how regulated firms treat domestic politically exposed persons (PEPs).

4866. Sam Woods: Allowances and expenses 2023-2024 [pdf]

      FOI releases

      Published: 05/09/2023

      Last modified: 05/06/2024

      Summary of allowances and expenses claimed by Sam Woods, including hospitality given outside of the FCA.

4867. Jessica Rusu: Allowances and expenses 2023-2024 [pdf]

      FOI releases

      Published: 05/09/2023

      Last modified: 05/06/2024

      Summary of allowances and expenses claimed by Jessica Rusu, including hospitality given outside of the FCA.

4868. Steve Smart: Allowances and expenses 2023-2024 [pdf]

      FOI releases

      Published: 05/09/2023

      Last modified: 05/06/2024

      Summary of allowances and expenses claimed by Steve Smart, including hospitality given outside of the FCA.

4869. David Geale: Allowances and expenses 2023-2024 [pdf]

      FOI releases

      Published: 05/09/2023

      Summary of allowances and expenses claimed by David Geale, including hospitality given outside of the FCA.

4870. Sheldon Mills: Allowances and expenses 2023-2024 [pdf]

      FOI releases

      Published: 05/09/2023

      Last modified: 05/06/2024

      Summary of allowances and expenses claimed by Sheldon Mills, including hospitality given outside of the FCA.