Publications
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Dear CEO letter: Non-bank payment service providers – requirements for safeguarding of customer funds [pdf]
What we expect of electronic money institutions (EMIs) and authorised payment institutions (APIs) in relation to their safeguarding obligations. -
Dear CEO letter: FCA expectations of claims management companies when they act for customers [pdf]
On 4 June 2019 we published a letter about what we expect of claims -
Dear CEO Letter: FCA expectations of principal firms in the investment management sector [pdf]
Dear CEO letter on FCA expectations of principal firms in the investment management sector. -
Dear CEO Letter: Fair Treatment of With-Profits Customers [pdf]
Dear CEO letter on the fair treatment of with-profits customers. -
Dear CEO letter: Wholesale market broking firms [pdf]
We explain our view of the key harms that brokerage firms operating in wholesale financial markets pose to their clients and markets. -
Dear CEO letter: Firms’ Approvals of Financial Promotions the FCA’s Expectations [pdf]
Letter to CEOs of firms that engages in consumer credit activities. -
Dear CEO letter: FCA expectations of general insurance firms [pdf]
We expect firms to read this letter, our Thematic Review (TR19/2) and proposed guidance for insurance product manufacturers and distributors (GC19/2). -
Dear CEO letter: Managing the risks of Defined Benefits to Defined Contribution transfers [pdf]
We have completed our review of pension product providers and identified the key drivers of harm. We set out what we expect. -
Dear CEO: Loan-based Peer-to-Peer (P2P) crowdfunding platforms: wind-down arrangements [pdf]
On 7 March 2019, the FCA wrote to CEOs of loan-based Peer-to-Peer (P2P) crowdfunding platforms regarding the wind-down arrangements at their firm. -
Portfolio Strategy Letter to firms providing high cost lending products [pdf]
This letter sets out the FCA’s view of the key risks that High Cost Lenders pose to their consumers or the markets they operate in. Firms should consider the degree to which they present such risks and their strategies for mitigating them.