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Showing 1471 to 1480 of 1596 search results for Firm level complaints data.
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SM&CR and coronavirus: our expectations for solo-regulated firms - December 2020 update
In April 2020, we set out our expectations to help solo-regulated firms apply the SM&CR following the exceptional circumstances arising from the coronavirus pandemic (Covid-19). We offered some additional flexibility in the application of the SM&CR -
Financial Conduct Authority consults on widening access to the Financial Ombudsman Service for small businesses
The FCA has launched a consultation on plans to give more small businesses access to the Financial Ombudsman Service. This follows a review of the protections available to small and medium sized enterprises as users of financial services. -
Standard Life Aberdeen (clone of FCA recognised product and UK registered company)
Standard Life Aberdeen (clone of FCA recognised product and UK registered company) 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 -
Retail Distribution Review six months in – how firms are implementing the RDR
The Financial Conduct Authority (FCA) has published an early review of how advisory firms have implemented some of the core aspects of the Retail Distribution Review (RDR) months after its implementation. -
FCA updates on its work on financial advice given to members of the British Steel Pension Scheme (BSPS)
The FCA is aware of concerns about the financial advice received by members of the British Steel Pension Scheme (BSPS). The BSPS is being restructured and this has prompted many members to consider if they should transfer out of a Defined Benefit (DB -
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud
The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in -
Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit
Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential -
Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds
We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and -
Andrew Bailey keynote speech on MiFID II at the European Independent Research Providers Association
Speech by Andrew Bailey, Chief Executive of the FCA, on the Markets in Financial Instruments Directive (MiFID II) at the European Independent Research Providers Association. -
FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies
The Financial Services Authority (FSA) has published the results of a mystery shopping review, carried out between March and September 2012, looking into the quality of investment advice given by banks and building societies.