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Dear CEO Letters

Dear CEO letters are the most effective way of finding out what the FCA’s view is of your industry and how they intend regulating it. However, they can be a long read for many busy executives. Use this web page as a resource to access the most recent Dear CEO letters for your sector, which have been summarised into a short and a long summary, to make then easily consumable & accessible.
Dear Ceo Letters My Compliance Centre
Dear Ceo Letters My Compliance Centre
Dear Ceo Letters My Compliance Centre
Dear Ceo Letters My Compliance Centre
2024

Alternatives

Our asset management & alternatives supervisory strategy – interim update

The Financial Conduct Authority (FCA) has updated the supervisory strategy for the Asset Management and
2022

Alternatives

Portfolio Letter: Our alternatives supervision strategy 2022

The FCA’s letter to CEOs in the alternative investment sector outlines the updated supervisory strategy
2020

Alternatives

Portfolio letter: Our Alternatives Supervision Strategy

The FCA’s letter to CEOs of alternative investment firms outlines the key risks these firms
2023 (1)

Asset Management

Dear CEO letter: ESG Benchmarks Review

The Office for Professional Body Anti-Money Laundering Supervision (OPBAS) has issued an updated supervisory note
2023 (3)

Asset Management

Portfolio letter: Our Asset Management Supervision Strategy

The Financial Conduct Authority (FCA) has issued a directive focused on the supervision of the
2023 (2)

Asset Management

Implementing the Consumer Duty in Asset Management, Custody & Fund Services and Alternatives portfolios

The Financial Conduct Authority (FCA) is emphasising the integration of the Consumer Duty within the
2021

Asset Management

Dear chair letter: Authorised ESG and sustainable investment funds: improving quality and clarity

The FCA’s “Dear AFM Chair” letter highlights concerns about the standards of Authorised Fund Managers
2020

Asset Management

Asset Management Portfolio Letter

The FCA’s letter to CEOs of asset management firms outlines the supervision strategy, highlighting key
2019 (1)

Asset Management

Letter – Effective liquidity management: good practice for Authorised Fund Managers

The FCA has issued a directive to Authorised Fund Managers (AFMs), emphasising the critical importance
2019 (2)

Asset Management

Dear CEO Letter: FCA expectations of principal firms in the investment management sector

The FCA has issued a letter to CEOs of principal firms in the investment management
2023

Banking – Retail

Implementing the Consumer Duty in the Retail Banks and Building Societies sector

The Financial Conduct Authority (FCA) has issued a “Dear CEO” letter to retail banks and
2022

Banking – Retail

Portfolio letter: FCA strategy for the Retail Mortgage Lenders (RMLs) portfolio

In response to the evolving challenges within the financial market due to the pandemic, the
2021 (2)

Banking – Retail

Dear CEO Letter: (Retail Banks portfolio only) common control failings identified in anti-money laundering frameworks in retail banks (2021)

The Financial Conduct Authority (FCA) has identified persistent weaknesses in the anti-money laundering frameworks of
2021 (1)

Banking – Retail

Portfolio Letter – supervision strategy for retail banking portfolio

The Financial Conduct Authority (FCA) has issued a supervisory strategy letter to retail banks, underscoring
2023

Banking – Wholesale

Portfolio letter: Wholesale banking sector

The Financial Conduct Authority (FCA) has issued a significant update to chief executives of all
2022

Benchmarks

Portfolio letter: Our supervision strategy for benchmark administrators, September 2022

The FCA has issued a guidance letter to CEOs overseeing benchmark administrators, underscoring the critical
2020

Benchmarks

Portfolio letter: Benchmark Administrator Supervisory Strategy

The FCA’s letter to CEOs within the benchmark’s portfolio outlines expectations and supervisory strategies due
2023

Building Societies

Implementing the Consumer Duty in the Retail Banks and Building Societies sector

The Financial Conduct Authority (FCA) has issued a “Dear CEO” letter to retail banks and
2022

Building Societies

Portfolio letter: FCA strategy for Building Societies

The Financial Conduct Authority (FCA) has outlined a supervisory strategy for Building Societies in a
2023 (2)

Capital Markets

Portfolio letter: Our supervisory strategy for Principal Trading Firms

The Financial Conduct Authority (FCA) has issued a strategic supervisory letter to Principal Trading Firms
2023 (1)

Capital Markets

Portfolio letter: Wholesale brokers 2023

The FCA’s “Dear Chief Executive” letter to wholesale brokers outlines the supervisory strategy for the
2020

Capital Markets

Dear CEO letter: Inappropriate use of title transfer collateral arrangements (TTCAs) and regulatory permissions for financing transactions

The FCA has issued a letter addressing concerns around the use of Title Transfer Collateral
2019

Capital Markets

Dear CEO letter: Wholesale market broking firms

The Financial Conduct Authority (FCA) has issued a thematic review emphasising expectations for brokerage firms
2023

CFDs

Implementing the Consumer Duty in the Contract for Difference (CFD) portfolio

The Financial Conduct Authority (FCA) has issued a directive to firms dealing in Contracts For
2022

CFDs

Our Contracts for Difference (CFD) Strategy – portfolio letter

The FCA’s “Contracts for Difference (CFD) Strategy” letter to CEOs details the regulatory framework and
2023

Corporate Finance

Our supervision strategy for corporate finance firms: portfolio letter

The Financial Conduct Authority (FCA) has issued a comprehensive supervisory strategy letter directed at Chief
2024

Crowdfunding

FCA expectations for investment-based crowdfunding platforms

The Financial Conduct Authority (FCA) addresses the Board of Investment-based Crowdfunding (IBCF) platforms, supervised by
2021

Crowdfunding

Portfolio strategy letter: investment-based crowdfunding

The Financial Conduct Authority (FCA) has communicated updated supervisory expectations and strategies to CEOs of
2023 (3)

Crypto

Final warning for cryptoasset firms marketing to UK consumers and those supporting them to get ready for the financial promotion regime

The Financial Conduct Authority (FCA) has issued a final warning to cryptoasset firms, including those
2023 (2)

Crypto

Letter to firms on preparations to comply with the cryptoasset financial promotions regime

The Financial Conduct Authority (FCA) has communicated to firms involved in cryptoasset financial promotions regarding
2023 (1)

Crypto

Cryptoasset firms marketing to UK consumers must get ready for the financial promotions regime by 8 October 2023

The UK Government has now incorporated qualifying cryptoassets within the financial promotion regime effective from
2022

Custody

Portfolio Letter: Our custody and fund services supervision strategy

The Financial Conduct Authority (FCA) has issued a directive to CEOs of firms in the
2022

Data Reporting

Portfolio letter: Data Reporting Services Providers (DRSPs)

The FCA has issued a supervisory strategy letter to CEOs of firms providing data reporting
2021

Equity Finance

Dear CEO Letter: Supervisory review of global equity finance businesses

The Financial Conduct Authority (FCA) has issued a supervisory review focusing on the default of
2023

Funerals

Funeral plans sector portfolio letter: priorities 2023-2025

The Financial Conduct Authority (FCA) has outlined its priorities for the Funeral Plans sector from
2021

Funerals

Dear CEO Letter: Funeral Plan Providers

The Financial Conduct Authority (FCA) has issued a directive to all pre-paid funeral plan providers,
2024

Insurance – Buildings

Multi – occupancy buildings insurance

The Financial Conduct Authority (FCA) addresses developments in multi-occupancy buildings insurance (MOBI), focusing on leaseholder
2023

Insurance – Buildings

FCA update to DLUHC: Multi-occupancy buildings insurance

The Financial Conduct Authority (FCA) has updated the Secretary of State on its actions regarding
2022 (3)

Insurance – Buildings

Multi-occupancy buildings insurance letter

In a detailed response to the Secretary of State’s request, the FCA’s Executive Director, Sheldon
2022 (1)

Insurance – Buildings

Dear CEO letter: Insurers: Insurance costs for multi-occupancy buildings

The Financial Conduct Authority (FCA) has addressed the issue of rising insurance costs for multi-occupancy
2022 (2)

Insurance – Buildings

Dear CEO letter: Intermediaries: Insurance costs for multi-occupancy buildings

The Financial Conduct Authority (FCA) has expressed concerns regarding rising insurance costs for multi-occupancy buildings
2024

Insurance – General

Notice to provide information – non financial misconduct

The Financial Conduct Authority (FCA) has issued a notice under section 165(1) of the Financial
2023

Insurance – General

Implementing the Consumer Duty in the General Insurance and Pure Protection sectors

The Financial Conduct Authority (FCA) has issued a “Dear CEO” letter to firms in the
2022

Insurance – General

Dear CEO letter: Expectations on rising cost of living and insurance

The FCA’s recent letter to CEOs in the insurance sector highlights the heightened responsibility of
2021

Insurance – General

Dear CEO letter: Maintaining adequate client money arrangements – general insurance intermediaries

The FCA has issued a reminder to CEOs of general insurance intermediaries about the crucial
2020

Insurance – General

Dear CEO letter: Non-financial misconduct in wholesale general insurance firms

The FCA has issued a firm letter to CEOs of wholesale general insurance firms, underlining
2019

Insurance – General

Dear CEO letter: FCA expectations of general insurance firms

The Financial Conduct Authority (FCA) has issued a letter to CEOs of general insurance (GI)
2023 (2)

Insurance – Life

Life insurance portfolio letter: insurance market priorities 2023-2025

The Financial Conduct Authority (FCA) has outlined its strategic priorities for the insurance market from
2023 (1)

Insurance – Life

Implementing the Consumer Duty in Life Insurance

The Financial Conduct Authority (FCA) has issued a directive to Life Insurance firms and their
2022

Insurance – Life

Dear CEO letter: Our expectations of life insurers in relation to the cost of living

The FCA’s “Dear CEO” letter to life insurers articulates heightened expectations in the face of
2021

Insurance – Life

Portfolio Letter: Supervisory Strategy for Life Insurers

The Financial Conduct Authority (FCA) has updated its supervisory strategy for Life Insurers, extending the
2020

Insurance – Life

Portfolio Letter on Risks Life Insurance firms pose to consumers or markets

The Financial Conduct Authority (FCA) has addressed key risks posed by Life Insurance firms to
2019

Insurance – Life

Dear CEO Letter: Fair Treatment of With-Profits Customers

The FCA has released a thematic review focusing on the fair treatment of with-profits customers
2023

Insurance – Lloyds

Wholesale insurance portfolio letter: insurance market priorities 2023-2025

The Financial Conduct Authority (FCA) outlines the Insurance Market Priorities for 2023-2025, highlighting our commitment
2021

Insurance – Lloyds

FCA Supervision Strategy for Lloyd’s & London Market Insurers and Others (LLM) – Long Summary

The Financial Conduct Authority (FCA) has provided an updated supervisory strategy for Lloyd’s & London
2023

Insurance – Personal and Commercial

Personal and commercial lines insurance portfolio letter: insurance market priorities

The Financial Conduct Authority (FCA) has detailed its strategic objectives and priorities for the UK
2021

Insurance – Personal and Commercial

Personal and Commercial Lines Insurers portfolio letter

The Financial Conduct Authority (FCA) has communicated its supervisory strategy for Personal and Commercial line
2020

Insurance – Personal and Commercial

Portfolio Strategy Letter to firms in the Personal & Commercial Lines Insurer (PL&CL) portfolio: identifying and remedying harms

The FCA’s letter to CEOs in the Personal & Commercial Lines Insurer (PL&CL) portfolio outlines
2021

Mortgage Administrators

Portfolio letter: Mortgage Third Party Administrators

The Financial Conduct Authority (FCA) has issued a letter outlining the persistent and emerging risks
2023

Mortgage Intermediaries

Implementing the Consumer Duty in Mortgage Intermediaries

The Financial Conduct Authority (FCA) is emphasising the implementation of the Consumer Duty within the
2023

Mortgage Lenders

Implementing the Consumer Duty in the Mortgage Lenders and Administrators sector

The Financial Conduct Authority (FCA) has issued a directive specifically targeted at the Mortgage Lenders
2022 (3)

Mortgage Lenders

Portfolio letter: FCA supervisory strategy for Lifetime Mortgage Providers

The FCA’s letter to Lifetime Mortgage Providers details the supervisory strategy and expectations amid heightened
2022 (2)

Mortgage Lenders

Portfolio letter: FCA strategy for the Retail Mortgage Lenders (RMLs) portfolio

In response to the evolving challenges within the financial market due to the pandemic, the
2022 (1)

Mortgage Lenders

Portfolio letter: FCA strategy for Non-Bank (mortgage) Lenders (NBL)

The Financial Conduct Authority (FCA) has communicated a strategic overview for Non-Bank (Mortgage) Lenders (NBLs),
2021

Mortgage Lenders

Portfolio letter: Outsourcing to third party mortgage administrators

The Financial Conduct Authority (FCA) has issued a letter addressing the risks and expectations associated
2024

P2P

FCA expectations for loan – based peer – to – peer lending

The Financial Conduct Authority (FCA) outlines its expectations for Loan-based Peer-to-Peer (P2P) Lending platforms, now
2021

P2P

Portfolio letter: Loan-based peer-to-peer (P2P) crowdfunding platforms

The Financial Conduct Authority (FCA) has issued an update for loan-based Peer-to-Peer (P2P) crowdfunding platforms,
2019

P2P

Dear CEO: Loan-based Peer-to-Peer (P2P) crowdfunding platforms: wind-down arrangements

The Financial Conduct Authority (FCA) has issued a directive to all CEOs of loan-based Peer-to-Peer
2023 (2)

Payment Services

Portfolio Letter: FCA priorities for payments firms

The Financial Conduct Authority (FCA) has issued a letter to CEOs of firms within the
2023 (1)

Payment Services

Implementing the Consumer Duty in payments firms

The Financial Conduct Authority (FCA) has issued guidance to payment firms such as Payment Institutions,
2021

Payment Services

Dear CEO Letter: ensure your customers understand how their money is protected

The Financial Conduct Authority (FCA) has issued a directive to e-money firms, expressing concern about
2019 (2)

Payment Services

Dear CEO letter: Strong Customer Authentication

From 14 September 2019, the Payment Services Regulations 2017 mandates that all payment services providers
2019 (1)

Payment Services

Dear CEO letter: Non-bank payment service providers – requirements for safeguarding of customer funds

The FCA’s letter to CEOs of non-bank payment service providers (PSPs) stresses the crucial role
2023

Pensions and Retail Investments

Portfolio letter for SIPP operators

The Financial Conduct Authority (FCA) has issued a letter to Self-Invested Personal Pension (SIPP) operators,
2019

Pensions and Retail Investments

Dear CEO letter: Managing the risks of Defined Benefits to Defined Contribution transfers

The Financial Conduct Authority (FCA) has issued guidance to firms managing defined benefit (DB) to
2024

Personal Investment Firms

Thematic review of retirement income advice

The Financial Conduct Authority (FCA) has released findings from its recent thematic review of retirement
2023

Personal Investment Firms

Capital deduction for redress: personal investment firms

The Financial Conduct Authority (FCA) has issued a “Dear CEO” letter to Personal Investment Firms
2022

Personal Investment Firms

Portfolio strategy letter: Financial advisers and intermediaries 2022

The FCA’s “Portfolio Strategy Letter for Financial Advisers and Intermediaries” reiterates the agency’s focus on
2020

Personal Investment Firms

Portfolio strategy letter for financial advisers

The FCA’s letter to CEOs of financial advisory firms outlines key concerns and supervisory strategies
2023

Platforms

Our platforms supervision strategy: portfolio letter

The Financial Conduct Authority (FCA) has updated its supervisory strategy for Chief Executive Officers of
2021

Platforms

Portfolio letter: Platforms Portfolio strategy update

The FCA’s recent letter to CEOs of platform firms emphasises the need for heightened operational
2020

Platforms

Platforms Portfolio Strategy Letter

The FCA’s letter to CEOs of firms operating within the ‘platforms’ portfolio outlines the supervision
2022

Repositories

Portfolio Letter: Repositories

The FCA’s portfolio letter to CEOs of Trade Repositories (TRs) and Securitisation Repositories (SRs) details
2021

Trade Finance

Dear CEO letter: Trade Finance Activity

The Financial Conduct Authority (FCA) has issued guidance to firms engaged in trade finance, emphasising
2023

Wealth Management

Dear CEO letter: FCA expectations for wealth management & stockbroking firms

The Financial Conduct Authority (FCA) has issued a “Dear Chief Executive” letter to wealth management
2021

Wealth Management

Portfolio letter: Wealth Management and Stockbroking Supervision Strategy

The Financial Conduct Authority (FCA) has issued a strategic update to firms in the wealth
2019

Wealth Management

Portfolio strategy letter wealth management and stockbroking supervision strategy

The FCA’s letter to CEOs of Wealth Management and Stockbroking firms outlines the key risks

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