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Showing 5041 to 5050 of 5130 search results for Financial Services Register to make sure.

5041. PS15/29: Strengthening accountability in banking: Final amendments to the Decision Procedure and Penalties Manual and the Enforcement Guide

      Policy statements Published: 09/12/2015 Last modified: 26/05/2016
      new accountability regime (including the Senior Managers Regime and the Certification Regime), and use the new powers created by the Financial Services (Banking Reform) Act 2013 (the Banking Reform Act). ... Firms will need to make sure that their staff

5042. FCA orders WealthTek Limited Liability Partnership to cease operations as High Court appoints Joint Special Administrators and arrest made

      News stories Published: 05/04/2023 Last modified: 14/09/2023
      BDO LLP to take interim control of WealthTek Limited Liability Partnership.

5043. Review of principal firms in the investment management sector

      Multi-firm reviews Published: 20/05/2019 Last modified: 20/05/2019
      We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

5044. British Steel Pension Scheme transfers: action from the FCA, FOS and FSCS

      Firms Pensions Corporate documents Published: 24/07/2024 Last modified: 24/07/2024
      The FCA, Financial Ombudsman Service (FOS) and FSCS report on joint action to help former British Steel Pension Scheme members get the retirement they worked for.

5045. Safeguarding arrangements of non-bank payment service providers

      Multi-firm reviews Published: 04/07/2019 Last modified: 04/07/2019
      In the first 6 months of 2019 we carried out a multi-firm review with 11 non-bank payment service providers (PSPs) to assess how well they meet the requirements for safeguarding service users’ funds in the Payment Services Regulations 2017 (PSRs)

5046. FCA publishes finalised guidance on inducements for product providers and advisory firms

      Press Releases Published: 16/01/2014 Last modified: 07/02/2022
      In finalised guidance on inducements published today, the Financial Conduct Authority (FCA) makes it clear that financial advisers and product providers share the responsibility of managing potential conflicts of interests when receiving and making

5047. 15 million Brits suffer in silence as they lack confidence to complain

      Press Releases Published: 08/11/2018 Last modified: 08/11/2018
      Three quarters of consumers avoid making complaints Younger generation stew on issues rather than speaking up Poor travel etiquette and unhelpful shop assistants among top unspoken gripes Gok Wan and restaurateur and TV presenter Fred

5048. How can we ensure that Big Data does not make us prisoners of technology?

      Speeches Published: 11/07/2018 Last modified: 11/07/2018
      Speech by Charles Randell, Chair, Financial Conduct Authority and Payment Systems Regulator, delivered at Reuters Newsmaker event, London.

5049. Mitsubishi UFJ Morgan Stanley Securities Co. Ltd (clone of FCA authorised firm)

      Warnings Published: 29/08/2013 Last modified: 03/12/2013
      Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'.

5050. GAP insurers agree to suspend sales following FCA concerns over fair value

      Press Releases Published: 09/02/2024 Last modified: 09/02/2024
      The FCA has today announced that multiple insurance firms have agreed to pause sales of Guaranteed Asset Protection (GAP) insurance, following a request from the FCA.