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29 Mar 2021, 8:50 pm
The regulators are keeping a range of supervisory tools under review for use where they see insufficient progress, or incidents of poor risk management or governance of transition, including relative to the expectations set out in the Dear CEO letter. [read post]
16 May 2024, 9:22 am
On 16 May 2024, the Financial Conduct Authority (FCA) published six ‘Dear CEO’ letters, setting out information to support firms in their final preparations for implementing the Consumer Duty for closed products and services. [read post]
4 Sep 2012, 1:08 pm
Following a review of a sample of wealth management firms, in June 2011, the FSA wrote “Dear CEO” letters to all Chief Executive Officers of firms that offer wealth management services to retail clients highlighting that the FSA’s work had identified “significant, widespread failings” in the industry. [read post]
22 Aug 2019, 6:49 am
On 20 August 2019, the FCA published a Dear CEO letter on the requirements for strong customer authentication (SCA) in card-not-present e-commerce transactions. [read post]
19 Oct 2021, 8:34 am
They have the same anxieties about managing their time and energy. [read post]
23 Jan 2010, 2:38 pm
UK FSA Dear CEO Letter to Investment Firms Faults Compliance with Principle on Protecting Client AssetsThe UK Financial Services Authority has sent a Dear CEO letter and report to the chief executive officers of major insurance brokers and investment firms which hold money or assets on behalf of clients, drawing their attention to the FSA’s concerns over the handling of client money and assets. [read post]
14 Sep 2017, 7:19 am
View Dear CEO letter consumer credit firms handling of complaints, 13 September 2017 [read post]
2 Mar 2018, 3:27 am
View FCA Dear CEO letter- second charge lenders and responsible lending, 1 March 2018 [read post]
17 Dec 2014, 6:00 am
Dear Rich: I recently became band manager and I have some questions regarding the contract that we are in the process of negotiating. [read post]
30 Jun 2021, 8:50 pm
In the Dear CEO letter the FCA reminds firms that the Senior Managers and Certification Regime (SMCR) places a responsibility on all senior management to counter the risk that their firm might be used to further financial crime. [read post]
6 Oct 2022, 6:50 am
On 6 October 2022, the FCA published a Dear CEO letter which sets out an updated view on the key risks of harm the regulator believes high-cost lending firms pose to their customers and the markets in which they operate. [read post]
29 Apr 2010, 6:43 am
Near and dear to my heart, the goals of librarians and knowledge managers are or at least [...] [read post]
10 Jan 2018, 6:39 am
The FCA has published a Dear CEO letter to providers and distributors of contracts for difference (CFDs) products. [read post]
4 Nov 2015, 4:00 am
The Managing Partner of a mid-sized firm who used OneNote to enhance his capabilities to a level way beyond his colleagues. [read post]
16 Jul 2013, 10:57 pm
Dear Law and Disorder: We are a small classical music presenter. [read post]
27 Jul 2020, 7:20 am
CEOs are asked to reply to the Dear CEO letter by 14 August 2020, confirming that the senior manager with responsibility for client assets, or alternatively the senior manager responsible for compliance, has considered the issues in the appendix and will bring any issues to the attention of the firm’s board. [read post]
13 Sep 2007, 11:45 pm
Like this, on the subject of praise (positive feedback): It’s all pretty obvious good-management stuff, but the cheeky style makes it a fun Friday read. [read post]
19 Oct 2009, 3:49 pm
"Dear Beth, Can a homeowner be on the board and work for the property management company. and if not what can we do? [read post]
18 Oct 2011, 10:00 pm
While somehow managing not to develop any relationships with people who aren’t white. [read post]
FCA Dear CEO letter – Thematic findings on the effectiveness of governance in credit rating agencies
26 Oct 2022, 1:53 am
On 24 October 2022, the FCA published a Dear CEO letter addressing thematic findings on the effectiveness of governance in credit rating agencies (CRAs). [read post]
