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Thematic findings of Internal Audit Review of the Credit Risk Management Framework – non-systemic UK Deposit Takers(UKDT) – Long Summary
Thematic findings of Internal Audit Review of the Credit Risk Management Framework – non-systemic UK Deposit Takers(UKDT)
PricewaterhouseCoopers LLP
Test page
Dear Ceo Letters
CEO letter
Blogs
News
Thought leadership
Fca Fines
Consultation Paper
Insights
Discovery
Floris Jakobus Huisamen
Inspirational Financial Management Ltd (in administration)
James William Edward Lewis
Guaranty Trust Bank (UK) Limited (GT Bank)
Al Rayan Bank PLC
ED&F Man Capital Markets Ltd
Mark Antony Abley
Paul Steel
Bastion Capital London Limited
Andrew John Deeney
ADM Investor Services International Limited
Equifax Limited
LCC Trans-Sending Limited
Hafiz Bros Travel & Money Transfer Limited
Dollar East (International Travel & Money Transfer) Ltd
Linear Investments
Ghana International Bank
JLT Specialty
TFS Loans
Tristan Freer
Robert Ward
Aiden Henderson
Charles Schwab
Corrado Abbattista
Adrian Horn
Thomas Henry Ward
Sir Christopher Gent
TSB Bank Plc
Metro Bank Plc
Santander UK Plc
BGC
Pembrokeshire Mortgage Centre
Gatehouse Bank plc
Simon Tyson
Stephen Tomlin
Matthew Kent
Sigma Broking
Citigroup Markets
The TJM Partnership
Bank House
Andrew Mark Thomas Page
Timothy Haywood
GAM International
Barclays
Julius Baer
HSBC Bank
Natwest
Sunrise Brokers LLP
Credit Suisse
Omar Hussein
Lloyds General Insurance
Crosfill and Archer Claims
Sapien Capital
Simon John Varley
Barclays
LJ Financial Planning
TFS-ICAP
Goldman Sachs International
Asia Research
Commerzbank AG
Lloyds
Moneybarn
Hall and Hanley (HHL)
Kevin Gorman
Professional Personal Claims
Henderson
Tullet Prebon (Europe)
The Prudential
Eric Ka Chi Siu
Jin-Yi Lee
Cathay International
Standard Life Assurance
Bank of Scotland plc
R.Raphael & Sons plc
Standard Chartered Bank
Goldman Sachs International
USB AG
The Carphone Warehouse
River & Mercantile Asset Management LLP
Hargreave Hale
Paul Stephany
Mark John Owen
Stewart Owen Ford
Santander UK plc
Angela Burns
Liberty Mutual
Tesco Personal Finance plc
Alistair Rae Burns
John Lawrence Radford
One Call Insurance Services
Darren Colvin Cummings
Canara Bank
James Edward Staley
Alexander David Osborne Stuart
Guillaume Adolph
Vanquis Bank
Interactive Brokers
Neil Danziger
Tejoori
Bluefin Insurance Services
Paul Axel Walter
Merrill Lynch International
Rio Tinto Plc
Mrs Colette Chiesa
Clive John Rosier
Charles Palmer
David Samuel Watters
Niall O’Kelly
Lukhvir Thind
Christopher Niehaus
Deutsche Bank
Tariq Carrimjee
Steven Smith
Sonali Bank (UK)
Aviva Pension Trustees
Elizabeth Anne Parry
Cenkos Securities Plc
Gavin Duncan Paul Breeze
Timothy Duncan Philip
Towergate
CT Capital
Mark Samuel Taylor
Terence Andrew Joint
Timothy Alan Roberts
W H Ireland
Achilles Othon Macris
Andrea Christine Sadler
Coverall Worldwide
Robert John Bygrave
Wayne Anthony Redgrave
Colin J McIntosh
Shay Jacob Reches
Millburn Insurance Company
Shay Jacob Reches
Vroni Mavis O’Brien
Threadneedle
Paivi Katriina Grigg
Barclays
Mothahir Miah
Andrew Peter Wilkins
Quick Purchase
John Joseph Financial Services
Craig McNeil
Ralph Paul Whittington
Robert Ian Shaw
Gyorgy Szabolcs Brad
Tamas Pornye
Szabolcs Banya
Da Vinci Invest
Mineworld
Asia Resource Minerals
Lloyds
Paul Reynolds
Barclays
Moorhouse Group
Deutsche Bank
Merrill Lynch
BNYM
Clydesdale Bank Plc
Robert Addison
Robin Farrell
Kenneth George Carver
Lloyd Arnold Pope
Alberto Micalizzi
Stephen Edward Bell
Sam Thomas Kenny
Michael John Allin
Anthony Rendell Boyd Wills
Bank of Beirut (UK)
Aviva
Jeremy Kraft
David Caplin
Reckitt Benckiser
Execution Noble & Company
Natwest
Chase de Vere
HSBC Bank
RBS
JPMorgan
Citibank N.A.
UBS AG
Anthony Peter Clare
Nicholas Bowyer
Peter Joseph Halpin
Sesame
Yorkshire Building Society
David Gillespie
David Welsby
Barclays
Peter Thomas Carron
Craig Stuart Cameron
RBS
Deutsche Bank
Stonebridge
Lloyds
Ian Charles Hannam
Yorkshire Building Society
Daniel James Plunkett
Barclays
Martin Brokers
Invesco
David Lloyd Wren
Philip Eley
Santander plc
Mark Stevenson
Besso
City & Provincial
FXCM
HomeServe Membership
Ewan King
State Street
Swift Trade
Standard Bank PLC
JLT Specialty
Westwood Independent Financial Planners
Christopher Willford
Lloyds
SEI Investments
Rabobank
Porta Verde Financial Services
Mustafa Dervish
Mark Bentley-Leek
Alison Moran
ICAP
Clydesdale Bank Plc
JPMorgan
AXA Wealth Services
Aberdeen
Mr Andrew Jeffery
Guaranty Trust Bank
Vandana Madhukar Parikh
John Douglas Leslie
Paul David Cable
RBS
Swinton Group
Jeffrey Simon Bennett
David Thomas Davis
Michael Coscia
Policy Administration Services
Gurpreet Singh Chadda
Christopher John Riches
Sesame
Xcap Securities Plc
JP Morgan
Douglas Jones
EFG Private Bank
Care Asset Management
The Prudential
The Prudential
Lamprell plc
Lloyds
Nestor Healthcare Group
UBS AG
RBS
Patrick Sejean
Stefan Chaligne
Harbinder Panesar
Thomas Reeh
Christopher Ollerenshaw
Co-operative Bank Plc
Implementing the Consumer Duty in the Contract for Difference (CFD) portfolio – Long Summary
Portfolio letter: Benchmark Administrator Supervisory Strategy – Long Summary
Dear CEO Archives
Thematic review of retirement income advice – Long Summary
Thematic review of retirement income advice
Portfolio strategy letter wealth management and stockbroking supervision strategy – Long Summary
Portfolio strategy letter wealth management and stockbroking supervision strategy
Portfolio letter: Wealth Management and Stockbroking Supervision Strategy – Long Summary
Portfolio letter: Wealth Management and Stockbroking Supervision Strategy
Dear CEO letter: FCA expectations for wealth management & stockbroking firms – Long Summary
Dear CEO letter: FCA expectations for wealth management & stockbroking firms
Dear CEO letter: Trade Finance Activity – Long Summary
Dear CEO letter: Trade Finance Activity
Portfolio Letter: Repositories – Long Summary
Portfolio Letter: Repositories
Platforms Portfolio Strategy Letter – Long Summary
Platforms Portfolio Strategy Letter
Portfolio letter: Platforms Portfolio strategy update – Long Summary
Portfolio letter: Platforms Portfolio strategy update
Our platforms supervision strategy: portfolio letter – Long Summary
Our platforms supervision strategy: portfolio letter
Portfolio strategy letter for financial advisers – Long Summary
Portfolio strategy letter for financial advisers
Portfolio strategy letter: Financial advisers and intermediaries 2022 – Long Summary
Portfolio strategy letter: Financial advisers and intermediaries 2022
Capital deduction for redress: personal investment firms – Long Summary
Capital deduction for redress: personal investment firms
Dear CEO letter: Managing the risks of Defined Benefits to Defined Contribution transfers – Long Summary
Dear CEO letter: Managing the risks of Defined Benefits to Defined Contribution transfers
Portfolio letter for SIPP operators – Long Summary
Portfolio letter for SIPP operators
Portfolio Letter: FCA priorities for payments firms – Long Summary
Portfolio Letter: FCA priorities for payments firms
Dear CEO letter: Non-bank payment service providers – requirements for safeguarding of customer funds – Long Summary
Dear CEO letter: Non-bank payment service providers – requirements for safeguarding of customer funds
Dear CEO letter: Strong Customer Authentication – Long Summary
Dear CEO letter: Strong Customer Authentication
Dear CEO Letter: ensure your customers understand how their money is protected – Long Summary
Dear CEO Letter: ensure your customers understand how their money is protected
Implementing the Consumer Duty in payments firms – Long Summary
Implementing the Consumer Duty in payments firms
Dear CEO: Loan-based Peer-to-Peer (P2P) crowdfunding platforms: wind-down arrangements – Long Summary
Dear CEO: Loan-based Peer-to-Peer (P2P) crowdfunding platforms: wind-down arrangements
Portfolio letter: Loan-based peer-to-peer (P2P) crowdfunding platforms – Long Summary
Portfolio letter: Loan-based peer-to-peer (P2P) crowdfunding platforms
FCA expectations for loan – based peer – to – peer lending – Long Summary
FCA expectations for loan – based peer – to – peer lending
Portfolio letter: Outsourcing to third party mortgage administrators – Long Summary
Portfolio letter: Outsourcing to third party mortgage administrators
Portfolio letter: FCA strategy for the Retail Mortgage Lenders (RMLs) portfolio – Long Summary
Portfolio letter: FCA strategy for the Retail Mortgage Lenders (RMLs) portfolio
Portfolio letter: FCA strategy for Non-Bank (mortgage) Lenders (NBL) – Long Summary
Portfolio letter: FCA strategy for Non-Bank (mortgage) Lenders (NBL)
Portfolio letter: FCA supervisory strategy for Lifetime Mortgage Providers – Long Summary
Portfolio letter: FCA supervisory strategy for Lifetime Mortgage Providers
Implementing the Consumer Duty in the Mortgage Lenders and Administrators sector – Long Summary
Implementing the Consumer Duty in the Mortgage Lenders and Administrators sector
Implementing the Consumer Duty in Mortgage Intermediaries – Long Summary
Implementing the Consumer Duty in Mortgage Intermediaries
Portfolio letter: Mortgage Third Party Administrators – Long Summary
Portfolio letter: Mortgage Third Party Administrators
Dear CEO letter: Firms’ Approvals of Financial Promotions the FCA’s Expectations – Long Summary
Dear CEO letter: Firms’ Approvals of Financial Promotions the FCA’s Expectations
2019 Letter to RemCo Chairs: Our approach – Long Summary
2019 Letter to RemCo Chairs: Our approach
Dear CEO letter: Action needed to ensure your financial promotions are clear, fair and not misleading – Long Summary
Dear CEO letter: Action needed to ensure your financial promotions are clear, fair and not misleading
2022 letter to Remuneration Committee – Long Summary
2022 letter to Remuneration Committee
Dear Chair of the Remuneration Committee letter 2023 – Long Summary
Dear Chair of the Remuneration Committee letter 2023
Wholesale insurance portfolio letter: insurance market priorities 2023-2025 – Long Summary
Wholesale insurance portfolio letter: insurance market priorities 2023-2025
Portfolio Strategy Letter to firms in the Personal & Commercial Lines Insurer (PL&CL) portfolio: identifying and remedying harms – Long Summary
Portfolio Strategy Letter to firms in the Personal & Commercial Lines Insurer (PL&CL) portfolio: identifying and remedying harms
Personal and Commercial Lines Insurers portfolio letter – Long Summary
Personal and Commercial Lines Insurers portfolio letter
Personal and commercial lines insurance portfolio letter: insurance market priorities – Long Summary
Personal and commercial lines insurance portfolio letter: insurance market priorities
FCA Supervision Strategy for Lloyd’s & London Market Insurers and Others (LLM) – Long Summary
FCA Supervision Strategy for Lloyd’s & London Market Insurers and Others (LLM)
Dear CEO Letter: Fair Treatment of With-Profits Customers – Long Summary
Dear CEO Letter: Fair Treatment of With-Profits Customers
Portfolio Letter on Risks Life Insurance firms pose to consumers or markets – Long Summary
Portfolio Letter on Risks Life Insurance firms pose to consumers or markets
Portfolio Letter: Supervisory Strategy for Life Insurers – Long Summary
Portfolio Letter: Supervisory Strategy for Life Insurers
Dear CEO letter: Our expectations of life insurers in relation to the cost of living – Long Summary
Dear CEO letter: Our expectations of life insurers in relation to the cost of living
Implementing the Consumer Duty in Life Insurance – Long Summary
Implementing the Consumer Duty in Life Insurance
Life insurance portfolio letter: insurance market priorities 2023-2025 – Long Summary
Life insurance portfolio letter: insurance market priorities 2023-2025
Notice to provide information – non financial misconduct – Long Summary
Notice to provide information – non financial misconduct
Implementing the Consumer Duty in the General Insurance and Pure Protection sectors – Long Summary
Implementing the Consumer Duty in the General Insurance and Pure Protection sectors
Dear CEO letter: FCA expectations of general insurance firms – Long Summary
Dear CEO letter: FCA expectations of general insurance firms
Dear CEO letter: Non-financial misconduct in wholesale general insurance firms – Long Summary
Dear CEO letter: Non-financial misconduct in wholesale general insurance firms
Dear CEO letter: Maintaining adequate client money arrangements – general insurance intermediaries – Long Summary
Dear CEO letter: Maintaining adequate client money arrangements – general insurance intermediaries
Dear CEO letter: Expectations on rising cost of living and insurance – Long Summary
Dear CEO letter: Expectations on rising cost of living and insurance
FCA update to DLUHC: Multi-occupancy buildings insurance – Long Summary
FCA update to DLUHC: Multi-occupancy buildings insurance
Dear CEO letter: Intermediaries: Insurance costs for multi-occupancy buildings – Long Summary
Dear CEO letter: Intermediaries: Insurance costs for multi-occupancy buildings
Dear CEO letter: Insurers: Insurance costs for multi-occupancy buildings – Long Summary
Dear CEO letter: Insurers: Insurance costs for multi-occupancy buildings
Multi-occupancy buildings insurance letter – Long Summary
Multi-occupancy buildings insurance letter
Multi – occupancy buildings insurance – Long Summary
Multi – occupancy buildings insurance
Dear CEO Letter: Funeral Plan Providers – Long Summary
Dear CEO Letter: Funeral Plan Providers
Funeral plans sector portfolio letter: priorities 2023-2025 – Long Summary
Funeral plans sector portfolio letter: priorities 2023-2025
Dear CEO Letter: Supervisory review of global equity finance businesses – Long Summary
Dear CEO Letter: Supervisory review of global equity finance businesses
Portfolio letter: Data Reporting Services Providers (DRSPs) – Long Summary
Portfolio letter: Data Reporting Services Providers (DRSPs)
Portfolio Letter: Our custody and fund services supervision strategy – Long Summary
Portfolio Letter: Our custody and fund services supervision strategy
Cryptoasset firms marketing to UK consumers must get ready for the financial promotions regime by 8 October 2023 – Long Summary
Cryptoasset firms marketing to UK consumers must get ready for the financial promotions regime by 8 October 2023
Letter to firms on preparations to comply with the cryptoasset financial promotions regime – Long Summary
Letter to firms on preparations to comply with the cryptoasset financial promotions regime
Final warning for cryptoasset firms marketing to UK consumers and those supporting them to get ready for the financial promotion regime – Long Summary
Final warning for cryptoasset firms marketing to UK consumers and those supporting them to get ready for the financial promotion regime
Portfolio strategy letter: investment-based crowdfunding – Long Summary
Portfolio strategy letter: investment-based crowdfunding
FCA expectations for investment-based crowdfunding platforms – Long Summary
FCA expectations for investment-based crowdfunding platforms
Our supervision strategy for corporate finance firms: portfolio letter – Long Summary
Our supervision strategy for corporate finance firms: portfolio letter
Our Contracts for Difference (CFD) Strategy – portfolio letter – Long Summary
Our Contracts for Difference (CFD) Strategy – portfolio letter
Implementing the Consumer Duty in the Contract for Difference (CFD) portfolio
Dear CEO letter: FCA expectations of claims management companies when they act for customers – Long Summary
Dear CEO letter: FCA expectations of claims management companies when they act for customers
Credit Brokers Portfolio Letter – Long Summary
Credit Brokers Portfolio Letter
Insolvency Service letter on debt packager firms – Long Summary
Insolvency Service letter on debt packager firms
Portfolio letter: FCA supervisory strategy for Mainstream Consumer Credit Lenders (MCCL) portfolio – Long Summary
Portfolio letter: FCA supervisory strategy for Mainstream Consumer Credit Lenders (MCCL) portfolio
Dear CEO letter: Buy Now Pay Later (BNPL) firms – Long Summary
Dear CEO letter: Buy Now Pay Later (BNPL) firms
FCA Portfolio: High cost lending letter 2022 – Long Summary
FCA Portfolio: High cost lending letter 2022
Implementing the Consumer Duty in Mainstream Consumer Credit Lenders (MCCL) – Long Summary
Implementing the Consumer Duty in Mainstream Consumer Credit Lenders (MCCL)
Implementing the Consumer Duty in the Consumer Investments sector – Long Summary
Implementing the Consumer Duty in the Consumer Investments sector
Implementing the Consumer Duty in the Retail Finance Providers portfolio – Long Summary
Implementing the Consumer Duty in the Retail Finance Providers portfolio
Implementing the Consumer Duty in the Motor Finance Providers portfolio – Long Summary
Implementing the Consumer Duty in the Motor Finance Providers portfolio
Implementing the Consumer Duty in Credit Brokers – Long Summary
Implementing the Consumer Duty in Credit Brokers
FCA strategy for consumer lending – Long Summary
FCA strategy for consumer lending
Dear CEO letter: Wholesale market broking firms – Long Summary
Dear CEO letter: Wholesale market broking firms
Portfolio letter: Wholesale brokers 2023 – Long Summary
Portfolio letter: Wholesale brokers 2023
Dear CEO letter: Inappropriate use of title transfer collateral arrangements (TTCAs) and regulatory permissions for financing transactions – Long Summary
Dear CEO letter: Inappropriate use of title transfer collateral arrangements (TTCAs) and regulatory permissions for financing transactions
Asset Management Portfolio Letter – Long Summary
Asset Management Portfolio Letter
Portfolio letter: Our supervisory strategy for Principal Trading Firms – Long Summary
Portfolio letter: Our supervisory strategy for Principal Trading Firms
Portfolio letter: FCA strategy for Building Societies – Long Summary
Portfolio letter: FCA strategy for Building Societies
Portfolio letter: Benchmark Administrator Supervisory Strategy
Portfolio letter: Our supervision strategy for benchmark administrators, September 2022 – Long Summary
Portfolio letter: Our supervision strategy for benchmark administrators, September 2022
Portfolio letter: Wholesale banking sector – Long Summary
Portfolio letter: Wholesale banking sector
Dear CEO Letter: (Retail Banks portfolio only) common control failings identified in anti-money laundering frameworks in retail banks (2021) – Long Summary
Dear CEO Letter: (Retail Banks portfolio only) common control failings identified in anti-money laundering frameworks in retail banks (2021)
Portfolio Letter – supervision strategy for retail banking portfolio – Long Summary
Portfolio Letter – supervision strategy for retail banking portfolio
Implementing the Consumer Duty in the Retail Banks and Building Societies sector – Long Summary
Implementing the Consumer Duty in the Retail Banks and Building Societies sector
Dear CEO Letter: FCA expectations of principal firms in the investment management sector – Long Summary
Dear CEO Letter: FCA expectations of principal firms in the investment management sector
Letter – Effective liquidity management: good practice for Authorised Fund Managers – Long Summary
Letter – Effective liquidity management: good practice for Authorised Fund Managers
Dear chair letter: Authorised ESG and sustainable investment funds: improving quality and clarity – Long Summary
Dear chair letter: Authorised ESG and sustainable investment funds: improving quality and clarity
Portfolio letter: Our Asset Management Supervision Strategy – Long Summary
Portfolio letter: Our Asset Management Supervision Strategy
Implementing the Consumer Duty in Asset Management, Custody & Fund Services and Alternatives portfolios – Long Summary
Implementing the Consumer Duty in Asset Management, Custody & Fund Services and Alternatives portfolios
Dear CEO letter: ESG Benchmarks Review – Long Summary
Dear CEO letter: ESG Benchmarks Review
Portfolio letter: Our Alternatives Supervision Strategy
Portfolio letter: Our Alternatives Supervision Strategy – Long Summary
Portfolio Letter: Our Alternatives Supervision Strategy 2022 – Long Summary
Portfolio Letter: Our alternatives supervision strategy 2022
Our asset management & alternatives supervisory strategy – interim update
Our asset management & alternatives supervisory strategy – interim update – Long summary
Action needed in response to common control failings identified in anti-money laundering frameworks – Long Summary
Action needed in response to common control failings identified in anti-money laundering frameworks
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Consolidated FCA Fines List
FCA Metrics Workbook
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