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Dear CEO Letter: Persistent debt (PD), your approach to customers who have been in persistent debt for 36 months (PD36) [pdf]
Dear CEO Letter: Persistent debt (PD), your approach to customers who have been in persistent debt for 36 months (PD36)... -
Portfolio letter: Benchmark Administrator Supervisory Strategy [pdf]
As announced in our Approach to Supervision document the FCA has established ‘portfolios’ of firms with similar business models and your firm has been allocated to the benchmarks portfolio for its benchmark administration activities. Many firms... -
Portfolio letter: Our Alternatives Supervision Strategy [pdf]
This letter outlines our view of the key risks of harm that alternative investment firms pose to their customers or the markets in which they operate. -
Asset Management Portfolio Letter [pdf]
This letter outlines our view of the key risks of harm that Asset Managers pose to their customers or the markets in which they operate. You should consider whether your firm presents these risks and your strategies for mitigating them. -
Dear CEO letter: Portfolio strategy letter for financial advisers [pdf]
Dear CEO letter: Portfolio strategy letter for financial advisers -
Portfolio Strategy Letter to firms in the Personal & Commercial Lines Insurer (PL&CL) portfolio: identifying and remedying harms [pdf]
Our view of the key risks of harm for firms writing personal, commercial and multi-lines insurance; and our expectations of firms in mitigating them. -
Dear CEO letter: Non-financial misconduct in wholesale general insurance firms [pdf]
We explain our view of non-financial misconduct in wholesale general insurance firms. -
Dear CEO letter: PPI: FCA expectations of claims management companies [pdf]
Our expectations of claims management companies (CMCs) when acting for their PPI customers and when issuing... -
Dear CEO letter: Strong Customer Authentication [pdf]
Requirements for Strong Customer Authentication in card-not-present e-commerce transactions -
Portfolio strategy letter wealth management and stockbroking supervision strategy [pdf]
This letter sets out FCA's view of the key risks of harm that Wealth Management and Stockbroking firms pose to their customers or the markets in which they operate. Firms should consider whether their firm presents these risks and consider their...