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Showing 1551 to 1560 of 1596 search results for Firm level complaints data.

  1. Werner Hahn Capital / Werner Hahn Wealth Management (Clone of EEA authorised firm)

    Warnings Published: 02/09/2020 Last modified: 02/09/2020
    Werner Hahn Capital / Werner Hahn Wealth Management (Clone of EEA 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

  2. Coronavirus and safeguarding customers’ funds: proposed guidance for payment firms

    Policy and guidance Guidance consultations Published: 22/05/2020 Last modified: 05/06/2020
    Short consultation proposing additional temporary guidance to strengthen payment firms’ prudential risk management and arrangements for safeguarding customers’ funds in light of the exceptional circumstances of the coronavirus pandemic

  3. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

    Press Releases Published: 13/08/2015 Last modified: 19/04/2016
    banks, and also confirms reforms to the approved persons regime for Solvency II firms. ... Changes to governance arrangements, particularly to support enhanced accountability of senior staff in firms.

  4. DP15/6: Possible FCA Handbook changes to reflect the introduction of the Innovative Finance ISA and the regulated activity of advising on peer-to-peer agreements

    Discussion papers Published: 12/11/2015 Last modified: 12/11/2015
    financial advisers. firms operating loan-based crowdfunding platforms. firms that wish to manage IFISAs. ... We would welcome feedback from firms, industry and consumer groups, and other stakeholders.

  5. How to report Appointed Representatives data – information for principal firms

    Firm authorisation Published: 11/07/2023 Last modified: 26/10/2023
    Read about the data principal firms must report to the FCA about their appointed representatives (ARs).

  6. Regulatory and consumer bodies welcome review of pension scheme communications provided to steel workers

    Statements Published: 22/01/2019 Last modified: 22/01/2019
    The Financial Conduct Authority (FCA), The Pensions Regulator (TPR) and The Single Financial Guidance Body (SFGB) today welcomed an independent review by Caroline Rookes into communications and support provided to British Steel Pension Scheme (BSPS)

  7. Debt management firms still failing Britain’s most vulnerable consumers, says FCA

    Press Releases Published: 25/06/2015 Last modified: 25/06/2015
    People who turn to debt management firms do so as a last resort. ... At this time the FCA will also assess the level of fees charged by fee-charging debt management firms.

  8. The FCA’s approach to supervising wealth management and private banking firms

    Speeches Published: 02/07/2013 Last modified: 18/07/2013
    Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  9. GC14/4 Guidance on the Financial Policy Committee’s recommendation on loan to income ratios in mortgage lending

    Guidance consultations Published: 05/08/2014 Last modified: 05/09/2014
    These rules apply to these firms’ at as subsidiary level not already caught by the rules. ... How we will determine which firms should apply the LTI limit on an on-going basis.

  10. FCA review finds evidence of life insurance and advisory firms ‘undermining the objectives of the RDR’ and consults on new guidance

    Press Releases Published: 17/09/2013 Last modified: 07/02/2022
    The Financial Conduct Authority (FCA) has published a review to find out whether firms continue to be influenced by inducements from product providers, despite the Retail Distribution Review (RDR) coming into effect in January 2013
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