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Showing 151 to 160 of 696 search results for board effectiveness review.
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FSA - FG11/4 [pdf]
This letter summarises the key points we discussed during a series of seminars on governance, hosted by our Retail Firms Division (RFD) during October/November 2010. Please share this letter with your Board and consider the issues raised in it. -
IRHP: the review process
IRHP: the review process. -
FCA statement following NatWest Board announcement
Sheldon Mills comments on today's announcement from the NatWest Board regarding recent allegations. -
FSA - Handbook Notice 117 [pdf]
On 23 February 2012 the FSA Board made changes to the Handbook which amend the appropriate qualifications list for activities which advisers conduct under the Retail Distribution Review (RDR) -
Primary Market Bulletin 33
This edition of the FCA’s Primary Market Bulletin covers Brexit, major shareholding notifications, short selling and MAR Article 17. -
Primary Market Bulletin 49
This edition of the FCA’s Primary Market Bulletin covers long-term incentive plans, global depositary receipts, disclosure and filing requirements for Annual Financial Reports, ethnicity reporting, and ISSB standards. -
Apply to become a mortgage broker
Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application. -
Information on the FCA response to the Swift Report - March 2022
The FCA provides information on its response to the Swift Report on the FCA supervisory intervention on IRHPs -
FSA - Handbook Notice 104 [pdf]
On 13 October 2010, the FSA Board made changes to the Handbook which made changes to the client assets rules in order to strengthen client protection (FSA 2010/52). -
FCA statement on London Capital & Finance
At its meeting on Thursday March 28, the FCA Board decided that there should be an investigation by an independent person into the issues raised by the failure of London Capital & Finance (LC&F).