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Showing 281 to 290 of 549 search results for Firm level complaints data 2021.
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FCA publishes its approach to regulatory failure
The Financial Conduct Authority (FCA) has today published its approach to investigating and reporting on regulatory failure, as required by the Financial Services Act 2012 (the Act). The Act requires the FCA to publish a statement of policy setting -
Unregulated collective investment schemes
Find out more about unregulated collective investment schemes (UCIS) and why you should be wary about investing in them. -
Personal data and authorisation
How and why the FCA uses personal data that is collected via forms on its online portals: Connect, RegData and Online Invoicing. -
Diversity and inclusion: Our role as a regulator
We want to see greater levels of diversity and inclusion across the UK financial sector. Read about the work the FCA is doing to drive change in this area. -
Complaints received by the FCA regarding settlements with whistleblowers - December 2021
The FCA answers multiple questions relating to complaints received by the FCA regarding settlements with whistleblowers for the period between 1 January 2015 and 29 November 2021. -
FCA publishes Guidance Guarantee Policy Statement
1. for the bodies responsible for delivering the Government’s new Guidance Guarantee aimed at those with defined contribution (DC) pensions.The FCA has also published rules requiring pension provider firms ... The FCA has outlined changes to the -
DAC Pensions Limited enters liquidation – advice on next steps and how to protect yourself from scams
This article gives advice to DAC clients on the steps they should take and also advice on how to protect against scams. -
Reaping the rewards of investing in women
Speech by Sheree Howard, Executive Director of Risk and Compliance Oversight at PIMFA Women’s symposium conference -
Defined Benefit Advice Assessment Tool (DBAAT)
The FCA Defined Benefit Advice Assessment Tool (DBAAT) helps the market understand how they assess the suitability of Defined Benefit (DB) pension transfer and related investment advice and disclosures. -
FCA to move faster to remove unused firm permissions
The FCA has published draft guidance on a new power that allows it to move faster to remove regulatory permissions that are no longer being used by financial services firms.