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Showing 1451 to 1460 of 1596 search results for Firm level complaints data.

  1. Statement on certain FCA work in light of coronavirus and changing market conditions

    Statements Published: 13/11/2020 Last modified: 14/05/2021
    We are providing an update on work that we intend to either stop or postpone in light of the ongoing impact of coronavirus and economic conditions. These changes will allow us to focus our resources on the most urgent work where we can make the most

  2. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how

  3. PS14/16: Detailed rules for the price cap on high-cost short-term credit - Including feedback on CP14/10 and final rules

    Policy statements Published: 11/11/2014 Last modified: 07/02/2022
    On 2 January 2015, we introduced a price cap on what high-cost short-term credit lenders can charge.

  4. Options Tech Limited

    Warnings Published: 08/08/2018 Last modified: 08/08/2018
    Options Tech Limited is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

  5. CP14/5: Changes to regulatory reporting: Adviser and consultancy charging, Authorised Professional Firms (APFs) and Product Sales Data (PSD)

    Consultation papers Published: 07/03/2014 Last modified: 30/08/2015
    introduce changes to how we collect this data with the aim of reducing the reporting obligation for firms. ... Any firms who are or will be subject to the Product Sales Data requirements in SUP 16.11.

  6. The FCA publishes findings of review into interest-only mortgages and reaches agreement with lenders to contact interest-only borrowers

    Press Releases Published: 02/05/2013 Last modified: 24/11/2021
    The Financial Conduct Authority (FCA) has published its research into consumers’ ability to repay their interest-only mortgages when they mature.

  7. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    On 21 May 2015 the Tribunal upheld the Authority’s decision to impose a financial penalty of £10,000 on Mr Rosier, the director of a financial advice firm called Bayliss & ... failure to respond to client complaints appropriately; and. failure to have

  8. FCA publishes Annual Report 2015/16 and report of its competition activities since 2013

    Press Releases Published: 12/07/2016 Last modified: 12/07/2016
    The FCA now regulates over 56,000 firms and 125,000 approved persons. ... However, there are concerns about consumers with persistent levels of debt or who only make minimum payments as it was found that most firms do not routinely intervene to address

  9. FCA and PRA publish final changes to enhance enforcement decision-making processes

    Press Releases Published: 01/02/2017 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes

  10. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

    Press Releases Published: 15/05/2014 Last modified: 22/03/2016
    If firms fail to heed these warnings then we will take action against them.”. ... The misconduct involved Martins deliberately disseminating incorrect or misleading LIBOR submission levels by:.
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