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Showing 611 to 620 of 718 search results for Consumer Duty firm survey.
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Branch and ATM closures or conversions; good practice and areas for improvement
Find out more about the good and poor practice the FCA has seen when supervising firms planning branch or ATM closures or conversions. -
CP23/9 – Changing the scope of the baseline financial resilience regulatory return
We’re consulting on changes to the scope of firms that provide us with baseline financial resilience data to include all full permission consumer credit firms. -
FCA bans partners of firm that failed to consider customer SIPP suitability
Between October 2010 and November 2012, Mr Rees and Mr Hughes’ firm advised nearly 2,000 customers on switching their existing pensions (valued at in excess of £112 million) into SIPPs. ... The FCA also found that the partners failed adequately to -
PS21/18: Restricting CMC charges for financial products and services claims
This policy statement sets out new rules for claims management companies (CMCs). The rules restrict the fees charged by CMCs for managing claims about non-PPI financial products and services. -
Updating and improving the UK regime for asset management: our priorities
Speech by Ashley Alder, Chair, delivered at the Investment Association’s Annual Dinner. -
New Chair of the Financial Conduct Authority’s Practitioner Panel announced today
Panel members are recruited to represent sectors and the industry as a whole, rather than individual firms. ... On 1 April 2014, the FCA took over responsibility for consumer credit regulation. -
FCA calls on insurers to take action as it publishes latest fair value data
The FCA has written to insurers warning that more action must be taken to ensure good consumer outcomes. -
TR15/2: Structured Products: Thematic Review of Product Development and Governance
Our recent work in the structured products market has focused on better understanding consumer behaviour and the way that firms approach product development and governance. -
FCA finds failings in the oversight of appointed representatives in the general insurance sector
today. Appointed representatives undertake regulated activities under the supervision of an authorised firm who acts as their principal. ... All principal firms need to consider these findings and look again at their practices.”. -
FCA places restrictions on twice as many consumer investment firms this year
The FCA has placed restrictions on twice as many firms in the investment market compared to last year, as part of its strategy designed to prevent harm in the consumer investment market.