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Showing 1021 to 1030 of 1264 search results for Firm specific complaints data.

  1. Sapia Trade / Sapia Capital (clone of FCA authorised firm)

    Warnings Published: 04/01/2021 Last modified: 04/01/2021
    Sapia Trade / Sapia Capital (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm

  2. Where next for investment and asset management regulation?

    Speeches Published: 28/09/2017 Last modified: 02/10/2017
    Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the FT Investment Management Summit Europe 2017.

  3. FCA statement on super-complaint from Citizens Advice to the CMA on excessive prices for disengaged consumers

    Statements Published: 28/09/2018 Last modified: 28/09/2018
    Citizens Advice today submitted a super-complaint to the Competition and Markets Authority (CMA) calling on it to identify remedies and recommendations to put an end to the penalty paid by loyal and disengaged consumers. The super-complaint covers

  4. FCA sets out approach to Non-Executive Directors and the Senior Managers Regime

    Press Releases Published: 23/02/2015 Last modified: 23/02/2015
    proposes to align to the approach being taken for deposit takers and PRA designated investment firms. ... Consultation paper: Approach to non-executive directors in banking and Solvency II firms & Application of the presumption of responsibility to

  5. FCA to investigate use of personal guarantees in certain small business lending

    Press Releases Published: 05/03/2024 Last modified: 05/03/2024
    The Financial Conduct Authority (FCA) has today committed to investigate the use of personal guarantees by lenders to support loans to certain small businesses. The steps come in response to a super complaint from the Federation of Small Businesses

  6. FG18/4: The FCA’s approach to the review of Part VII insurance business transfers

    Finalised guidance Published: 29/05/2018 Last modified: 15/02/2022
    This final guidance sets our approach to reviewing insurance business transfers schemes under Part VII of the Financial Services and Markets Act 2000.

  7. The Financial Conduct Authority publishes its findings on transition management

    Press Releases Published: 10/02/2014 Last modified: 07/02/2022
    Over £165 billion of assets invested in pensions and other large funds are transferred between investment managers, markets and products every year – potentially affecting the returns enjoyed by millions of consumers on their investments – by

  8. Regulating the pensions and retirement income sector: an FCA perspective

    Speeches Published: 03/10/2019 Last modified: 03/10/2019
    Speech by Deb Jones, Director of Supervision, Life Insurance and Financial Advice, delivered at the FCA/TPR: Our Joint Regulatory Strategy - one year on event.

  9. Investors in the EEA Life Settlements Fund should consider making a complaint now

    News stories Published: 24/09/2014 Last modified: 24/09/2014
    As a result, you may wish to make a complaint to the firm which sold you the investment or make a claim against it. ... Be clear that you are making a complaint. Under our rules, the firm should have a procedure to follow to resolve matters with you in a

  10. East West Insurance Company Limited enters administration

    General insurers and insurance intermediaries News stories Published: 12/10/2020 Last modified: 12/10/2020
    Insurance firm East West was placed into administration on 12 October 2020. Richard Barker and Simon Edel, both of Ernst & Young LLP, were appointed as Joint Administrators.