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Showing 991 to 1000 of 1596 search results for Firm level complaints data.
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Why diversity and inclusion are regulatory issues
Speech by our CEO, Nikhil Rathi, at the launch of the HM Treasury Women in Finance Charter Annual Review. -
The House Crowd Limited enters administration
On 24 February 2021, the Directors of The House Crowd Limited, a regulated Peer-to Peer (P2P) firm, placed the Company into administration and appointed Frank Ofonagoro, Jeremy Woodside and Frank Wessely of Quantuma Advisory Limited as Joint -
FCA reviews how fund charges are set out
invest. The recommendation follows a review of the marketing information made available to UK retail consumers by 11 firms. ... Given the importance of investors understanding and comparing charges as they contribute to fund returns along with -
Insurance company complaints from Q2 2017 to date - January 2022
The FCA provides data relating to complaints about general insurance products and companies. -
Getting culture and conduct right - the role of the regulator
Speech by Jonathan Davidson, Director of Supervision – retail and authorisations at the FCA, delivered at the 2nd Annual Culture and Conduct Forum for the Financial Services Industry in London. -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
Outsourcing in the life insurance sector
We set out our findings from our review of outsourcing and third-party service providers. We identified governance over outsourcing as a priority area for supervision in the life insurers’ portfolio strategy -
The role of regulation in encouraging investment in the City
Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at the City and Financial Global: Future of UK Capital Markets Regulation event. -
MLA F: Mortgage lending - arrears analysis FAQs
MLA F: Mortgage lending - arrears analysis FAQs -
Adviser banned and fined for fabricating RDR qualification certificates
Mr King later admitted to his principal firm that he had failed the relevant exams and his contract was subsequently terminated. ... The FCA has made no findings against Mr King’s former principal firm.