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Showing 671 to 680 of 1596 search results for Firm level complaints data.

  1. Aggregate Complaint data charts April 2013 [pdf]

    Data Published: 15/04/2013 Last modified: 04/08/2016
    Aggregate sector wide firm complaints data for 2012 H2. Including opened, closed, upheld, speed of closure and redress.

  2. Insurance brokers due diligence on insurers

    Tasks for regulated firms Published: 21/08/2018 Last modified: 14/02/2023
    Brokers should be able to demonstrate that they have carefully considered the insurers that they place their customers’ business with.

  3. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    Finally, I’d like to describe at a high level our recently announced market study into investment and corporate banking. ... offering.It could also provide a more level playing field within which more independent research could flourish.

  4. Outlining the FCA’s approach to authorisation

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

  5. Mortgage Lending in the post MMR world

    Speeches Published: 05/11/2014 Last modified: 10/11/2014
    Speech by Linda Woodall, Director of Mortgage and Consumer Lending, Council of Mortgage Lenders Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  6. Atwood Stanley Asset Management

    Warnings Published: 26/04/2018 Last modified: 26/04/2018
    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.

  7. Liberty SIPP Limited enters administration

    Statements Published: 28/04/2020 Last modified: 28/04/2020
    On 27 April 2020, the directors of Liberty SIPP Limited, a firm authorised and regulated by the Financial Conduct Authority (FCA), appointed Andrew Poxon & Alex Cadwallader of Leonard Curtis as Joint Administrators ('administrators').

  8. Transaction data throws new light on corporate bond liquidity

    Insight Published: 02/09/2016 Last modified: 17/02/2017
    But analysis of transaction data suggests a more positive picture, according to FCA economists Matteo Aquilina and Felix Suntheim. ... There is good news, however. Transaction data supplied by firms to the FCA shows no sign of liquidity being

  9. Client asset reports

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    All regulated investment firms (with limited exceptions set out in SUP 3.1) have to send us an annual report. Learn more about what to include and how to submit it.

  10. Regulatory Developments and the Changing Market Structure

    Speeches Published: 12/03/2014 Last modified: 12/03/2014
    Speech by David Lawton, Director of Markets at the FCA, at the American Bar Association Capital Markets Conference, Law Society, London, Thursday 27 February 2014. This is the text of the speech as drafted, which may differ from the delivered version
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