- Structured products bulletin🔍
- Financial services mis|selling regulation and redress🔍
- FCA's consultation on Consumer Duty🔍
- The FCA's response to the CMA's consultation on its provisional ...🔍
- Retail Product Development and Governance – Structured Products ...🔍
- FCA Publications🔍
- Dear CEO letter🔍
- FCA Unit Linked Thematic Review🔍
FCA's TR15|02 Thematic Review of Product Development and ...
Structured products bulletin: Q3 2022
Our quarterly bulletin provides a brief overview of the key legal and regulatory developments for structured products. 02 November 2022 Publication.
firms can discuss products in development openly with the FCA ... • In 2014, the FCA undertook a thematic review to identify the barriers to ...
FCA's consultation on Consumer Duty - Hymans Robertson
Product Development · Longevity Management ... The FCA has been building towards setting out its expectations with previous thematic reviews ...
a review of the banks' recent and planned product development. ... fca/documents/thematic-reviews/tr14-15. Page 17. Financial Conduct ...
2.13. We therefore carried out a thematic review in structured product provider firms between. November 2010 and May 2011 to assess the extent of these ...
FCA Publications - January to March 2014 - IFA Magazine
Thematic Review. Published: 20/03/2014. The FCA has completed the second cycle of work into findings looking at how firms and advisers were implementing the ...
Dear CEO letter: FCA expectations of general insurance firms
Despite previous interventions, such as the thematic reviews TR15/7 ... GI firms must urgently review their product and distribution practices ...
FCA Unit Linked Thematic Review - Institute and Faculty of Actuaries
02/10/2013. 1. FCA Unit Linked Thematic Review. Jim Ewing, AEGON. Mark Train, PwC ... problems. - 3) Issues and products - where FCA identifies significant ...
Industry questions FCA's structured products proposals - Risk.net
FCA's thematic review likely to result in greater use of stress testing to project structured product returns, sparking fears that investors could be misled.
➢ FCA Feedback Statement (FS19/02) was published in ... • FCA thematic review of distribution chains (TR ... ✓ Product development and manufacture. ✓ Product ...
Insurance product development in the new regulatory landscape ...
... FCA's approach to product supervision. The six outcomes are: ... Outcome 2 Products ... Thematic reviews will look at product design to determine whether products ...
FCA thematic review raises mortgage lending concerns
as I would not be explaining it in a fair and clear way…. Maybe they could ask the lenders to provide all the information about their products to clients in a ...
The FCA has explained that the thematic review was carried out between August 2014 and June 2015 on twelve banks and broking firms to provide an.
UK retail conduct requirements: FCA launches Call for Input ...
The overlap with existing reviews of the FCA's conduct requirements (eg the ongoing Smarter Regulatory Framework work) and other relevant ...
Far fewer firms have fully embedded best practice in product development, despite this being explicitly highlighted by the FCA (OP8 cited ...
FCA calls on firms to improve MiFID II product governance | PwC UK
○ Approaches to scenario and stress testing products varied. Not all firms included the same granularity of analysis, such as product-specific characteristics.
FCA Financial Crime supervisory plans for 2024 | DWF Group
The FCAs also plans to use previous firm work and findings, Including the Thematic Review of MLTM TR19/4 to inform its 2024 proactive ...
Financial Benchmarks: Thematic review of oversight and controls
Misconduct by some financial firms and their staff in the management of benchmark activities has been widely publicised.
FCA Consulting on Proposed Changes to the Derivatives Trading ...
The Background: In 2021, the Financial Conduct Authority ("FCA") and HM Treasury began consulting on the Wholesale Markets Review (the ...
PRODUCT GOVERNANCE OVERVIEW - 'Doing the right things'
Step 2: New Product and Review Committee ('NPRC') … ... - on 26/02/2021, the FCA issued the findings of a review which assessed how 8 asset management firms.