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Showing 401 to 410 of 549 search results for Firm level complaints data 2021.

  1. Compliance, Culture and Evolving Regulatory Expectations

    Speeches Published: 26/04/2021 Last modified: 26/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight.

  2. LIBOR – are you ready for life without LIBOR from end-2021?

    Speeches Published: 26/01/2021 Last modified: 01/02/2021
    Speech delivered by Edwin Schooling Latter, Director Markets and Wholesale Policy at the FCA, at City & Financial's Managing LIBOR transition event

  3. FCA bans and fines financial adviser £68,300 for lacking honesty and integrity

    Press Releases Published: 15/04/2021 Last modified: 15/04/2021
    The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval.

  4. Intergenerational challenges: what Mike and the Mechanics can teach us about pensions

    Speeches Published: 16/07/2018 Last modified: 19/01/2021
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Pensions Policy Institute, London.

  5. Data on Defined Benefits pension transfer activities - February 2022

    FOI Release Date of Release: 28/02/2022
    The FCA answers multiple questions regarding Defined Benefits Pension Transfer activities.

  6. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

  7. Reports about sexual and non-financial misconduct made to the FCA

    FOI Release Date of Release: 07/09/0201
    The FCA responds on the numbers of reports about sexual and non-financial misconduct made to the FCA

  8. Reforming our capital markets ecosystem

    Speeches Published: 29/03/2023 Last modified: 08/01/2024
    Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit.

  9. The role of regulation in encouraging investment in the City

    Speeches Published: 25/09/2023 Last modified: 25/09/2023
    Speech by Sarah Pritchard, Executive Director, Markets and Executive Director, International at the City and Financial Global: Future of UK Capital Markets Regulation event.

  10. Reporting requirements for CMCs

    Claims management companies Published: 09/06/2019 Last modified: 07/02/2023
    Learn more about the annual reporting requirements for claims management companies (CMCs).