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Showing 1431 to 1440 of 1596 search results for Firm level complaints data.

  1. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

  2. Increasing transparency and engagement at renewal in general insurance markets: PS16/21

    Policy and guidance Published: 10/08/2016 Last modified: 07/03/2017
    In this Policy Statement we report on the main issues arising from Consultation Paper 15/41 - Increasing transparency and engagement at renewal in general insurance markets - and confirm the final rules and non-Handbook guidance.

  3. TR15/7: Delegated authority: Outsourcing in the general insurance market

    Thematic reviews Published: 02/06/2015 Last modified: 02/06/2015
    We reviewed the outsourcing arrangements of 12 insurers representing a broad range of firms operating in the UK general insurance market. ... We also reviewed the activities of 19 firms that held underwriting and/or claims handling authority from those

  4. PS18/21: SME access to the Financial Ombudsman Service - near-final rules

    Policy statements Published: 22/01/2018 Last modified: 17/12/2018
    Following publication of this Policy Statement with near-final rules, we have now published final rules. Our final rules, which are unchanged from our near-final rules, extend access to the Financial Ombudsman Service (‘the ombudsman service’)

  5. TR16/1: Assessing suitability: Research and due diligence of products and services

    Thematic reviews Published: 19/02/2016 Last modified: 25/02/2016
    In this report we set out the high level findings of our thematic review of the research and due diligence processes carried out by advisory firms on the products and services ... However, many firms did not show consistently good practice across all

  6. Retail and Wholesale Banking: review of firms’ whistleblowing arrangements

    Multi-firm reviews Published: 14/11/2018 Last modified: 14/11/2018
    We have reviewed how firms have implemented our whistleblowing rules. We have published the findings, including the areas of good practice we observed and areas for improvement, together with our expectations on firms’ whistleblowing arrangements.

  7. Financial Conduct Authority fines Credit Suisse and Yorkshire Building Society for financial promotions failures

    Press Releases Published: 16/06/2014 Last modified: 09/12/2016
    Both firms agreed to settle at an early stage of the FCA’s investigation and therefore received a 30% settlement discount. ... For the maximum return to be achieved the FTSE 100 was required to rise by AT LEAST the cap level in every 6 month period.

  8. Mortgages and coronavirus: updated draft guidance for firms

    Policy and guidance Guidance consultations Published: 22/05/2020 Last modified: 17/08/2021
    FCA proposes updated draft guidance for firms on mortgages, debt advice and coronavirus

  9. Interest rate benchmark reform: transition to a world without LIBOR

    Speeches Published: 12/07/2018 Last modified: 12/07/2018
    Andrew Bailey, chief executive of the FCA, on transitioning from LIBOR to alternative interest rate benchmarks.

  10. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

    Press Releases Published: 19/09/2013 Last modified: 19/09/2013
    JPMorgan’s conduct demonstrated flaws permeating all levels of the firm: from portfolio level right up to senior management, resulting in breaches of Principles 2, 3, 5 and 11 of the ... FCA’s Principles for Businesses - the fundamental obligations
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