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Showing 1011 to 1020 of 1264 search results for Firm specific complaints data.

  1. FCA publishes a Discussion Paper on the client money distribution rules and the Special Administration Regime

    Press Releases Published: 09/03/2016 Last modified: 09/03/2016
    Following the failure of Lehman Brothers in 2008, the Treasury created a specific insolvency regime for investment firms holding client assets, the SAR. ... assets are returned as soon as possible to customers after the failure of an investment firm.

  2. Update to information on investments made through Harlequin Management Services (South East) Limited (“Harlequin Property”)

    News stories Published: 17/06/2013 Last modified: 25/11/2021
    The Financial Services Authority (FSA) issued an alert to financial advisers on 18 January 2013 regarding this subject.

  3. Pilot general Insurance value measures data – year ending 31 August 2017

    Data Published: 01/03/2018 Last modified: 31/10/2022
    The FCA have published general insurance value measures data for 36 insurers (including both UK and EEA firms) for the year ending 31 August 2017.

  4. Firms’ preparations to comply with the cryptoasset financial promotions regime – feedback on good and poor practice

    Good and poor practice Published: 07/09/2023 Last modified: 15/11/2023
    The FCA met with various regulated cryptoasset firms to understand how prepared they were. See findings and examples of good and poor practice.

  5. FCA launches consultation on changes to its FSCS rules and invites discussion on future funding of the scheme

    Press Releases Published: 14/12/2016 Last modified: 14/12/2016
    The Financial Conduct Authority (FCA) has today announced that it is inviting views on the future funding of the Financial Services Compensation Scheme (FSCS) and has also launched a consultation on a number of specific changes to its scheme rules.

  6. FCA seeks legal clarity on business interruption insurance alongside package of measures to help consumers and small businesses

    Press Releases Published: 01/05/2020 Last modified: 01/05/2020
    The FCA is announcing it intends to seek legal clarity on business interruption (BI) insurance.

  7. IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report

    Multi-firm reviews Published: 27/11/2023 Last modified: 27/11/2023
    Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime.

  8. FCA confirms new rules to improve oversight of Appointed Representatives

    Press Releases Published: 03/08/2022 Last modified: 03/08/2022
    Our new rules to make authorised financial firms more responsible for their appointed representatives (ARs). 

  9. Implementation group on changes to deliver switching options for mortgage prisoners

    Firms Published: 26/08/2019 Last modified: 24/06/2024
    The group assists industry in preparing for rule changes introduced in 2019 and to promote greater lending flexibility by firms.

  10. FG17/8: Streamlined advice and consolidated guidance

    Finalised guidance Published: 28/09/2017 Last modified: 11/05/2018
    This is our finalised guidance on streamlined advice and the fact find process. The summary of feedback outlines the response to our consultation.  We have updated it to include guidance from our Advice Unit in response to queries received from