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Showing 641 to 650 of 718 search results for Consumer Duty firm survey.

  1. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

    Press Releases Published: 16/08/2013 Last modified: 17/09/2013
    Consequently, both Leslie and Bennett have now been prohibited from holding accountable significant influence functions at any FCA-regulated firm. ... The lax attitude of Leslie and Bennett to their duties was particularly unacceptable when you consider

  2. GC16/1: Proposed guidance on voluntary redress schemes under the Competition Act 1998

    Guidance consultations Published: 19/01/2016 Last modified: 19/01/2016
    This guidance is aimed at firms looking to provide compensation under a CA98 redress scheme. ... Therefore, consumers, and organisations that advocate consumer interests, may be interested to learn more about how we will use our new redress scheme

  3. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

    Press Releases Published: 09/04/2019 Last modified: 09/04/2019
    The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML

  4. FCA appoints executive directors to co-lead Enforcement and Market Oversight

    Press Releases Published: 23/03/2023 Last modified: 23/03/2023
    The Financial Conduct Authority (FCA) has appointed Therese Chambers and Steve Smart as joint Executive Directors of Enforcement and Market Oversight.

  5. Greater support for people’s financial decisions, under regulator and government proposals

    Press Releases Published: 08/12/2023 Last modified: 08/12/2023
    The FCA and Government are seeking views, as part of the joint Advice Guidance Boundary Review, on three proposals to help people make more informed investment and pensions decisions.

  6. Competition in the asset management industry: UK experiences, global implications

    Speeches Published: 24/10/2017 Last modified: 24/10/2017
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting.

  7. FCA launches consultation guiding firms on the fair treatment of vulnerable customers

    Press Releases Published: 23/07/2019 Last modified: 23/07/2019
    The Financial Conduct Authority (FCA) has today launched a consultation on proposed guidance for firms on the fair treatment of vulnerable customers.

  8. FCA confirms anti-greenwashing guidance and proposes extending sustainability framework

    Press Releases Published: 23/04/2024 Last modified: 25/04/2024
    Ahead of the anti-greenwashing rule coming into force on 31 May, the FCA is supporting industry with guidance to help them meet the standard.

  9. Occasional paper No.40: Time to act: A field experiment on overdraft alerts

    Occasional papers Published: 24/07/2018 Last modified: 24/07/2018
    As part of the high-cost credit review, the FCA wanted to understand the impact of automatically enrolling customers into just-in-time arranged overdraft alerts and early warning alerts for overdrafts and unpaid items.

  10. Review of later-life mortgages finds poor advice and misleading promotions

    Press Releases Published: 14/09/2023 Last modified: 14/09/2023
    The review looked at firms responsible for around half of all lifetime mortgage sales.
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