Search results

Showing 1011 to 1020 of 1596 search results for Firm level complaints data.

1011. Liquidity management for investment firms: good practice

      Documents Published: 29/02/2016 Last modified: 29/02/2016
      The FCA has been working with the Bank of England, at the request of the Financial Policy Committee (FPC), to assess risks posed by open-ended investment funds investing in the fixed income sector. As part of this work we have engaged with a number

1012. Penalties, remediation, and our General Principles

      Speeches Published: 13/02/2020 Last modified: 13/02/2020
      FCA Executive Director of Enforcement and Market Oversight, delivered this speech on financial penalties at the City & Financial Global Ltd event, London.

1013. Cryptoasset AML / CTF regime: feedback on good and poor quality applications

      Tasks for firms Published: 22/03/2023 Last modified: 03/07/2024
      Feedback on good and poor quality applications made to the FCA under money laundering regulations.

1014. GC20/1: Advising on pension transfers

      Policy and guidance Guidance consultations Published: 05/06/2020 Last modified: 05/06/2020
      The FCA is consulting on guidance on what it expects from firms when advising on pension transfers and conversions, particularly from defined benefit (DB) schemes to defined contribution (DC) schemes. This Guidance Consultation sets out best

1015. Personal data and FCA news, events and groups

      Last modified: 09/05/2024
      Find out how and why the FCA uses personal data to communicate FCA news and events, including its newsletters.

1016. Safe custody services firm review findings

      Multi-firm reviews Published: 10/08/2016 Last modified: 18/05/2017
      Read what we found during our series of visits in 2010 to the known providers of safe custody services in the UK, what we would expect to see if we conducted a set of similar visits again in the future, and some examples of good and poor practice

1017. Recovery plans – initial observations

      News stories Published: 19/05/2016 Last modified: 19/05/2016
      References to ‘firm’ in the rest of this note should be taken to refer to refer to both firms and groups subject to IFPRU 11, except where qualified.). ... This includes firms that are subject to an investment firm consolidation waiver (CRR Article 15

1018. Product value and coronavirus: draft guidance for insurance firms

      Policy and guidance Guidance consultations Published: 01/05/2020 Last modified: 30/10/2020
      FCA guidance on our expectations for insurance firms to consider the value of their products in the coronavirus situation.

1019. Reforming our capital markets ecosystem

      Speeches Published: 29/03/2023 Last modified: 08/01/2024
      Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit.

1020. Caution urged when investing through Harlequin

      News stories Published: 17/06/2013 Last modified: 06/12/2017
      If you have any queries about the firm you should contact its joint liquidators, Shipleys and Leonard Curtis.