Skip to content
Products
GRC
SM&CR
Employee Compliance
Support
Insights
About Us
Client Login
Products
GRC
SM&CR
Employee Compliance
Support
Insights
About Us
Client Login
Book Demo
Pages
Articles Insights
Case Studies Insights
Newsletter Insights
Registers Insights
FileChecker Insights
Compliance Monitoring Insights
Employee Compliance Insights
SMCR Insights
GRC Insights
About Us
GRC
Support
Confirmation
FileChecker Demo Request
Test page for loop
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
News
Thought leadership
Insights
Paul Steel
TFS Loans
Tristan Freer
Robert Ward
Thomas Henry Ward
Sir Christopher Gent
TSB Bank Plc
Santander UK Plc
Pembrokeshire Mortgage Centre
Simon Tyson
Stephen Tomlin
Sigma Broking
The TJM Partnership
Timothy Haywood
Natwest
Sunrise Brokers LLP
Omar Hussein
Sapien Capital
Simon John Varley
TFS-ICAP
Professional Personal Claims
Tullet Prebon (Europe)
The Prudential
Standard Life Assurance
R.Raphael & Sons plc
Standard Chartered Bank
USB AG
The Carphone Warehouse
River & Mercantile Asset Management LLP
Paul Stephany
Stewart Owen Ford
Santander UK plc
Tesco Personal Finance plc
One Call Insurance Services
Vanquis Bank
Neil Danziger
Tejoori
Paul Axel Walter
Rio Tinto Plc
Mrs Colette Chiesa
Niall O’Kelly
Tariq Carrimjee
Steven Smith
Sonali Bank (UK)
Timothy Duncan Philip
Towergate
Terence Andrew Joint
Timothy Alan Roberts
W H Ireland
Robert John Bygrave
Wayne Anthony Redgrave
Shay Jacob Reches
Shay Jacob Reches
Vroni Mavis O’Brien
Threadneedle
Paivi Katriina Grigg
Quick Purchase
Ralph Paul Whittington
Robert Ian Shaw
Tamas Pornye
Szabolcs Banya
Paul Reynolds
Robert Addison
Robin Farrell
Stephen Edward Bell
Sam Thomas Kenny
Reckitt Benckiser
Natwest
RBS
UBS AG
Nicholas Bowyer
Peter Joseph Halpin
Sesame
Yorkshire Building Society
Peter Thomas Carron
RBS
Stonebridge
Yorkshire Building Society
Philip Eley
Santander plc
State Street
Swift Trade
Standard Bank PLC
Westwood Independent Financial Planners
SEI Investments
Rabobank
Porta Verde Financial Services
Mustafa Dervish
Vandana Madhukar Parikh
Paul David Cable
RBS
Swinton Group
Policy Administration Services
Sesame
Xcap Securities Plc
The Prudential
The Prudential
Nestor Healthcare Group
UBS AG
RBS
Patrick Sejean
Stefan Chaligne
Thomas Reeh
Portfolio letter: Benchmark Administrator Supervisory Strategy – Long Summary
Request Brochure
Thank You
Resources
FileChecker
Boards Committees
Regulatory Change Management
Incidents Breaches
Financial Promotions
Sectors
Banking
Asset Managers
Capital Markets
Wealth Management
Private Equity
Insurance Intermediaries
Consumer Credit
AR Networks
Mortgage Brokers
Fintech Payments
Solutions
Governance
Gifts & Entertainment
Attestations
Compliance Advice
Employee Compliance
Document Manager
SMCR
Terms & Conditions
Contact us
Conflicts Register
Cookies
Privacy Policy
Request a Demo
Personal Account Dealing
Compliance Monitoring
Compliance Operations
Sitemap
Home
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
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
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
