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Showing 341 to 350 of 1595 search results for Firm level complaints data.

341. Reporting complaints

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     The Dispute Resolution (DISP) rules require firms to send us reports on volumes of complaints. Find out how to submit one.

342. The FCA Mission – a consultation

     Press Releases Published: 26/10/2016 Last modified: 31/10/2016
     The Financial Conduct Authority (FCA) has today launched a consultation on its Mission, which is designed to provide a guiding set of principles around the strategic choices the FCA makes. It will inform the FCA’s strategy and day-to-day work over

343. Brock Hartwick

     Warnings Published: 04/06/2014 Last modified: 04/06/2014
     We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.

344. Swiss Privilege

     Warnings Published: 12/04/2018 Last modified: 12/04/2018
     Swiss Privilege is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

345. FERGOFX

     Warnings Published: 05/04/2022 Last modified: 06/04/2022
     FERGOFX is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

346. Locking down market abuse

     Speeches Published: 08/03/2021 Last modified: 08/03/2021
     Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the Expert Forum: Market Abuse 2021.

347. Stanford Barclay

     Warnings Published: 17/10/2014 Last modified: 23/10/2014
     We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.

348. Senior Managers and Certification Regime

     Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
     The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.

349. Regulation as a spur to growth

     Speeches Published: 05/06/2013 Last modified: 01/07/2013
     Speech by Martin Wheatley, Chief Executive, the FCA, to the Investment Management Association (IMA) at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version.

350. Market Watch 74

     Newsletters Published: 25/07/2023 Last modified: 25/07/2023
     n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.