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Showing 1251 to 1260 of 1596 search results for Firm level complaints data.

  1. Inducements and conflicts of interest thematic review: key findings

    Thematic reviews Published: 18/04/2016 Last modified: 18/04/2016
    Advisory firms incur costs when facilitating training or educational material supplied by product providers (eg setting up a webinar on the advisory firm’s systems) and when collecting management information on ... Providers may make payments to

  2. FCA launches discussion on improving the financial services compensation framework

    Press Releases Published: 06/12/2021 Last modified: 06/12/2021
    FCA seeks views on fundamental questions about the purpose, scope and funding of it's compensation framework

  3. Financial Lives 2020 survey: the impact of coronavirus

    Data and research Financial Lives Published: 11/02/2021 Last modified: 26/07/2023
    The Executive Summary for the FCA’s Financial Lives 2020 survey and October 2020 Covid-19 panel survey.

  4. Overdrafts and coronavirus: temporary guidance for firms

    Finalised guidance Published: 09/04/2020 Last modified: 30/11/2020
    FCA publishes temporary guidance on overdrafts during the coronavirus situation

  5. Financial Conduct Authority says time to end premium calls for consumers

    Press Releases Published: 14/04/2014 Last modified: 15/04/2014
    Current FCA rules require every authorised firm to have a free channel for making a complaint. ... In the same consultation the FCA will also look at a number of proposals to improve complaints handling by financial services firms including looking at

  6. Regulating the pensions and retirement income sector: an FCA perspective

    Speeches Published: 03/10/2019 Last modified: 03/10/2019
    Speech by Deb Jones, Director of Supervision, Life Insurance and Financial Advice, delivered at the FCA/TPR: Our Joint Regulatory Strategy - one year on event.

  7. FS19/5: Effective competition in non-workplace pensions

    Feedback statements Published: 30/07/2019 Last modified: 12/03/2021
    We have published our recent work on competition in the non-workplace pensions market. We are setting out the issues we have identified and seek stakeholder views to help develop our proposals for change.

  8. FCA launches guidance for firms on the fair treatment of vulnerable customers

    Press Releases Published: 23/02/2021 Last modified: 26/02/2021
    The Financial Conduct Authority (FCA) has published final guidance clarifying its expectations of firms on the fair treatment of vulnerable customers.

  9. Cenkos Securities fined for failure to maintain the high standards required of a firm providing Sponsor Services

    Press Releases Published: 09/08/2016 Last modified: 06/03/2017
    The Financial Conduct Authority (FCA) has today fined Cenkos Securities plc (Cenkos) £530,500 for failures in its sponsor services business.  Cenkos failed to have appropriate systems and controls in place across its sponsor services business, and,

  10. Consumer Duty: Findings from our review of fair value frameworks

    Good and poor practice Published: 10/05/2023 Last modified: 17/11/2023
    Read the findings of our review into firms’ approaches to fair value assessments under the Consumer Duty.
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