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Showing 151 to 160 of 1595 search results for Firm level complaints data.

151. UBS fined £9.45m for failings in its sale of an AIG fund

     Press Releases Published: 12/02/2013 Last modified: 29/03/2013
     The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

152. Get-rich-quick, Ponzi and pyramid schemes

     Consumers Scams Published: 10/08/2017 Last modified: 20/03/2023
     Find out how get-rich-quick schemes like Ponzi and pyramid schemes work, how to avoid scams and what to do if you’re scammed.

153. Turning technology against financial crime

     Speeches Published: 23/10/2019 Last modified: 23/10/2019
     Speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the FCA, delivered at the Royal United Services Institute, London.

154. FCA proposes stronger requirements on oversight of appointed representatives

     Press Releases Published: 03/12/2021 Last modified: 03/12/2021
     FCA launches consultation on improving the appointed representatives regime and tackling harm from this model.

155. General insurance value measures data - July to December 2021

     Data Published: 25/11/2022 Last modified: 25/11/2022
     The FCA has published value measures data for a wide range of General Insurance (GI) Products for July to December 2021.

156. Investors in the EEA Life Settlements Fund should consider making a complaint now

     News stories Published: 24/09/2014 Last modified: 24/09/2014
     As a result, you may wish to make a complaint to the firm which sold you the investment or make a claim against it. ... Be clear that you are making a complaint. Under our rules, the firm should have a procedure to follow to resolve matters with you in a

157. FCA to investigate use of personal guarantees in certain small business lending

     Press Releases Published: 05/03/2024 Last modified: 05/03/2024
     The Financial Conduct Authority (FCA) has today committed to investigate the use of personal guarantees by lenders to support loans to certain small businesses. The steps come in response to a super complaint from the Federation of Small Businesses

158. CP13/10: Detailed proposals for the FCA regime for consumer credit

     Consultation papers Published: 03/10/2013 Last modified: 30/08/2015
     In FSA CP13/7 we consulted on our high-level proposals for consumer credit firms. ... What information and how frequently firms will have to report to us, including on complaints (Chapters 4 and 11).

159. Anti-fraud controls and complaint handling in firms (with a focus on APP Fraud)

     Multi-firm reviews Published: 07/11/2023 Last modified: 23/04/2024
     This publication sets out the key findings from our review of how firms mitigate the risks of APP fraud and fraud attacks more broadly.

160. Open Finance: an opportunity for financial services

     Speeches Published: 18/11/2019 Last modified: 18/11/2019
     Speech by Sheldon Mills, Director of Competition at the FCA, delivered at The Investments and Savings Alliance​​​​​​​ (TISA) Open Finance Conference, London.