Showing 1 to 10 of 89 search results for "dear ceo letter".

1. Dear CEO letter: Maintaining adequate financial resources [pdf]

   Correspondence Published: 12/04/2024
   Our letter to remind firms that they must maintain adequate financial resources at all times.

2. Dear CEO letter: Thematic Review of Retirement Income Advice [pdf]

   Correspondence Published: 20/03/2024
   Our review of retirement income advice.

3. Dear CEO Letter: Action needed in response to common control failings identified in anti-money laundering frameworks [pdf]

   Correspondence Published: 05/03/2024
   Our letter to CEO on failings in anti-money laundering controls.

4. Dear CEO Letter: The retention of interest earned on customers’ cash balances [pdf]

   Correspondence Published: 12/12/2023
   Dear CEO Letter: The retention of interest earned on customers’ cash balances.

5. Capital deduction for redress: personal investment firms [pdf]

   Correspondence Published: 29/11/2023
   Our Dear CEO letter as part of our consultation.

6. Dear CEO letter: FCA expectations for wealth management & stockbroking firms [pdf]

   Correspondence Published: 08/11/2023
   Portfolio letter to firms as a result of the PSF.

7. Dear CEO letter: Liquidity Management Multi-Firm Review [pdf]

   Correspondence Published: 06/07/2023
   A Dear CEO Letter to inform the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management.

8. Dear CEO letter: British Steel Pension Scheme - concerns about third party actuarial providers [pdf]

   Correspondence Published: 19/05/2023
   Since the FCA announced their decision to implement a redress scheme for former British Steel Pension Scheme (BSPS) members, they have become increasingly concerned by some financial advisory firms conducting redress calculations before the scheme

9. Portfolio letter for SIPP operators [pdf]

   Correspondence Published: 12/05/2023
   Our letter setting out expanded expectations of firms under the Consumer Duty

10. Dear CEO letter: ESG Benchmarks Review [pdf]

    Correspondence Published: 20/03/2023
    We set out our assessment of the risks observed and the issues identified based on our preliminary review.