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Showing 1041 to 1050 of 1264 search results for Firm specific complaints data.

  1. Market abuse requires a dynamic response to a changing risk profile

    Speeches Published: 13/02/2019 Last modified: 17/05/2019
    Taking a step back, firms should also consider who in their institution is able to access inside information outside of specific deal teams. ... We are also concerned that firms are not considering these typologies through the specific lens of the

  2. FCA highlights continuing concerns about problem firms in the CFD sector

    Press Releases Published: 01/12/2022 Last modified: 01/12/2022
    FCA has written to CFD providers outlining expectations and highlighting areas of poor practice seen in firms.

  3. TR13/3 - Banks’ control of financial crime risks in trade finance

    Thematic reviews Published: 01/07/2013 Last modified: 03/07/2013
    We undertake thematic projects to assess current and future risks in relation to a particular issue or product. This may be across a number of firms, within a specific part of the sector, or at market level.

  4. FCA places restrictions on twice as many consumer investment firms this year

    Press Releases Published: 18/10/2022 Last modified: 13/06/2023
    The FCA has placed restrictions on twice as many firms in the investment market compared to last year, as part of its strategy designed to prevent harm in the consumer investment market.

  5. FCA review reveals shortcomings in the provision of premium finance for general insurance

    Press Releases Published: 11/05/2015 Last modified: 11/05/2015
    Firms acting as a credit broker did not always disclose the name of the credit provider or details of their relationship with the firm. ... It is also following up with individual firms where it found specific examples of failings and poor practice.

  6. Interest rates and risk-based credit limits in the UK credit card market

    Research articles Published: 08/07/2022 Last modified: 08/07/2022
    We studied variation in interest rates and credit limits to investigate how UK lenders base choices on customers' risk.

  7. Changes to UK EMIR reporting requirements: draft questions and answers

    Consultation papers Published: 01/03/2024 Last modified: 12/07/2024
    The FCA sought feedback alongside the Bank of England (the Bank) on our draft guidance for reporting under the revised UK EMIR Article 9 reporting requirements.

  8. FCA acts to help customers get better rates for cash savings

    Press Releases Published: 09/01/2020 Last modified: 09/01/2020
    The Financial Conduct Authority (FCA) is today proposing to reform the easy access cash savings market. Under new rules all firms will have to set a single easy access rate (SEAR) across all easy access accounts. Firms will have flexibility to offer

  9. Defined benefit pension transfers market data October 2018-March 2020

    Data Published: 18/01/2021 Last modified: 29/01/2021
    Defined benefit pension transfers market data October 2018-March 2020

  10. Regulatory co-operation between the UK and US: now and in the future

    Speeches Published: 12/06/2019 Last modified: 12/06/2019
    Panel appearance by Nausicaa Delfas, Executive Director of International at the BritishAmerican Business Transatlantic Finance Forum, New York City