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Showing 871 to 880 of 898 search results for Consumer Duty implementation.

  1. PS21/24: Enhancing climate-related disclosures by asset managers, life insurers and FCA-regulated pension providers

    Policy statements Published: 17/12/2021 Last modified: 17/12/2021
    We are introducing a new Environmental, Social and Governance sourcebook.

  2. New Chairs of the FCA Practitioner Panel and Markets Practitioner Panel announced today

    Press Releases Published: 28/06/2019 Last modified: 01/07/2019
    The Financial Conduct Authority Chair, Charles Randell, has today announced the appointments of new Chairs for the FCA’s independent Practitioner Panel and Markets Practitioner Panel.

  3. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    Caplin failed to ensure the effective oversight of the firm’s compliance function and the timely and adequate implementation of recommendations made by an external compliance consultancy. ... To support this it has three operational objectives: to

  4. FCA: New strategic approach to ensure “sharper focus” to regulatory challenges ahead

    Press Releases Published: 08/12/2014 Last modified: 08/12/2014
    The approach is shaped by a strategy that will provide a "sharper focus" on how firms are regulated and on delivering the right outcome for consumers and the markets. ... It recognises the differences in approach required across the industry given its

  5. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

    Press Releases Published: 13/08/2015 Last modified: 24/03/2020
    Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

  6. Insurance providers warned not to undervalue cars or other insured items when settling claims

    Press Releases Published: 02/12/2022 Last modified: 02/12/2022
    Insurance firms have been warned not to undervalue cars and other insured items when settling insurance claims especially during the cost of living squeeze.

  7. Opening up and speaking out: diversity in financial services and the challenge to be met

    Speeches Published: 19/12/2018 Last modified: 19/12/2018
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Mitsubishi UFJ Financial Group, London.

  8. PS15/3: Final rules for independent governance committees, including feedback on CP14/16

    Policy statements Published: 04/02/2015 Last modified: 29/05/2018
    pensions. IGCs will have a duty to act solely in the interests of scheme members and will operate independently of the provider. ... consumers who are members of workplace personal pension schemes and consumer groups seeking better protection for

  9. PS14/4: The FCA’s regulatory approach to crowdfunding over the internet, and the promotion of non-readily realisable securities by other media

    Policy statements Published: 06/03/2014 Last modified: 07/02/2022
    This policy statement summarises and gives response feedback to CP13/13 - The FCA’s regulatory approach to crowdfunding (and similar activities). We also publish rules that came into force on 1 April 2014.

  10. Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit

    Press Releases Published: 25/02/2019 Last modified: 25/02/2019
    Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential
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