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Showing 1281 to 1290 of 1596 search results for Firm level complaints data.

  1. Consumer investments data review April 2021 – March 2022

    Data Published: 18/10/2022 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 31 March 2022.

  2. Restrictions in relation to the retail distribution of contingent convertible instruments

    Temporary product interventions Published: 05/08/2014 Last modified: 09/12/2016
    Contingent convertible instruments (commonly known as CoCos) are hybrid capital securities that absorb losses when the capital of the issuer falls below a certain level. ... The restrictions will limit the ability of firms to distribute CoCos to retail

  3. Uncle Buck LLP enters administration following FCA action

    News stories Published: 27/03/2020 Last modified: 27/03/2020
    The FCA had concerns that Uncle Buck Finance LLP (Uncle Buck) was failing to meet the adequate resources Threshold Condition. Given the severity of these concerns, the FCA has required Uncle Buck to stop lending to customers.

  4. Can robo-advice improve borrower repayment decisions?

    Research articles Published: 30/08/2022 Last modified: 30/08/2022
    Analysis showing that a simple automated ‘robo-advice’ tool significantly improved borrower repayment decisions in a randomised controlled trial.

  5. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

    Press Releases Published: 05/06/2015 Last modified: 05/06/2015
    In March 2012, Lloyds issued guidance instructing complaint handlers that the overriding principle when assessing complaints was that Lloyds’ PPI sales processes were compliant and robust unless told otherwise (the Overriding ... Some complaint

  6. FCA fines and bans former Investment Analyst at Aviva Investors

    Press Releases Published: 17/11/2015 Last modified: 03/09/2016
    The financial penalty would have been higher had it not been for Mr Miah’s very early admissions and level of co-operation. ... The Final Notice and Press Release for Aviva Investors. On 1 April 2013 the Financial Conduct Authority (FCA) became

  7. The Joint Regulatory Oversight Committee welcomes OBL’s submission of two data collection frameworks

    News stories Published: 18/10/2023 Last modified: 18/10/2023
    Open Banking Limited (OBL) has published two data collection frameworks. One for levelling up API availability and performance in open banking and the second for mitigating risk of financial crime.

  8. FG17/8: Streamlined advice and consolidated guidance

    Finalised guidance Published: 28/09/2017 Last modified: 11/05/2018
    This is our finalised guidance on streamlined advice and the fact find process. The summary of feedback outlines the response to our consultation.  We have updated it to include guidance from our Advice Unit in response to queries received from

  9. Sapia Trade / Sapia Capital (clone of FCA authorised firm)

    Warnings Published: 04/01/2021 Last modified: 04/01/2021
    Sapia Trade / Sapia Capital (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm

  10. FCA reveals the financial experiences of people in the UK: People in the East Midlands are least likely to be to be struggling to pay bills or over-indebted compared to rest of UK

    Last modified: 20/06/2018
    The Financial Conduct Authority (FCA) has today published the latest analysis of its Financial Lives survey. Today’s report puts the spotlight on the financial situation of people across the UK and highlights where in the UK people may be more
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