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Showing 281 to 290 of 18549 search results for FCA complaints data.

281. Information relating to individual approvals and complaints relating to authorisations - March 2021

     FOI Release Date of Release: 11/03/2021
     The FCA responds to questions relating to applications for individual approvals, and complaints relating to authorisations and credit authorisations.

282. Final Notice 2023: Equifax Limited [pdf]

     Final notices Published: 13/10/2023
     This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and

283. FSA Commentary on FSA Complaints Data 2009 H1 [pdf]

     Data Published: 19/04/2013 Last modified: 04/08/2016
     FSA commentary on FSA Aggregate Complaints Data 2009 including highlights.

284. Personal data and supervision

     Last modified: 13/12/2023
     How and why the FCA uses personal data to carry out its supervision functions.

285. Side pockets

     Consumers Your rights Published: 08/09/2022 Last modified: 20/03/2023
     Side pockets could affect anyone who invests in funds that are exposed to Russian assets. Find out more about how side pockets work and what investors can expect.

286. FSA Commentary on FSA Complaints Data 2006 to 2008 [pdf]

     Data Published: 19/04/2013 Last modified: 04/08/2016
     FSA commentary on FSA Aggregate Complaints Data 2006 - 2008 including highlights.

287. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... highlight problems, do you take whistleblowing seriously, do you use the

288. Executive committees

     About us Who we are Published: 02/04/2016 Last modified: 15/07/2024
     Find out about the FCA's executive committee members and how our management structure operates to ensure markets work well.

289. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

     Press Releases Published: 17/12/2020 Last modified: 17/12/2020
     The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)

290. FSA Firm-level complaints data 2012 H1 [xls]

     Data Published: 22/04/2013 Last modified: 04/08/2016
     FSA Firm-level complaints data 2012 H1. For firms submitting 500 or more opened complaints within their six month reporting period. Contains opened, closed, upheld and speed of closure.