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Showing 1051 to 1060 of 1264 search results for Firm specific complaints data.

  1. Improving the Appointed Representatives regime through greater use of data

    Data Published: 28/09/2023 Last modified: 03/10/2023
    This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

  2. FSA - DP13/1 How the FCA could be more transparent

    Discussion papers Published: 05/03/2013 Last modified: 30/04/2014
    We are opening a debate into how the FCA and the financial services industry can be more transparent and we want you to take part in the discussion.

  3. Capital Markets Union – a regulator’s perspective

    Speeches Published: 04/06/2015 Last modified: 04/06/2015
    Speech by David Lawton, Director of Markets, Policy and International, at the FCA, delivered at the Deutsche Borse Group ‘Blueprint for a European Capital Markets Union’ event on 27 May 2015 at the ETC venues, London. This is the text of the

  4. FCA calls on consumers to act now as PPI complaints deadline pressure builds

    PPI Press Releases Published: 17/06/2019 Last modified: 19/06/2019
    As new ads launch today, 90s icon Mr Motivator and personal finance expert Sarah Pennells join ‘Animatronic Arnie’ on FCA’s ‘Pressure’s on Panel’ to help galvanise consumer action The FCA releases latest figures on PPI

  5. Competition in the asset management industry: UK experiences, global implications

    Speeches Published: 24/10/2017 Last modified: 24/10/2017
    Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting.

  6. Traded life policy investments: alert for financial advisers

    News stories Published: 24/09/2014 Last modified: 25/09/2014
    Firms that recommended to their clients that they invest into the EEA Life Settlements Fund should check that they have followed our 2012 guidance.

  7. CFD firms fail to meet our expectations on appropriateness assessments

    Multi-firm reviews Published: 29/06/2017 Last modified: 29/06/2017
    Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms.

  8. PS15/19: Improving complaints handling, feedback on CP14/30 and final rules

    Policy statements Published: 22/07/2015 Last modified: 30/09/2022
    In the Policy Statement the FCA report on the main issues arising from CP14/30 and publish the final rules.

  9. Information on John Swift QC's Independent Review of Interest Rate Hedging Products (IRHPs) - June 2022

    FOI Release Date of Release: 27/06/2022
    The FCA answers multiple questions regarding John Swift QC's Independent Review of Interest Rate Hedging Products (IRHPs) - June 2022.

  10. Chris Woolard discusses emergency regulation and learning from the coronavirus crisis

    News stories Published: 10/06/2020 Last modified: 16/10/2020
    Interim Chief Executive Chris Woolard discusses emergency coronavirus regulation and the Business Plan