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Showing 1071 to 1080 of 1264 search results for Firm specific complaints data.

  1. Guiding principles on design, delivery and disclosure of ESG and sustainable investment funds

    News stories Published: 19/07/2021 Last modified: 19/07/2021
    We publish a letter to chairs of authorised fund managers setting out expectations on the design, delivery and disclosure of ESG and sustainable investment funds

  2. MiFID II costs and charges disclosures review findings

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and

  3. FCA fines Sesame Ltd for ‘pay-to-play’ arrangements

    Press Releases Published: 30/10/2014 Last modified: 30/10/2014
    Tracey McDermott, director of enforcement and financial crime, said:. “Firms must place customers at the heart of their business. ... Firms can have had no doubt about the outcomes we were looking for here.

  4. The Financial Conduct Authority and industry agree to improve the way consumer complaints are dealt with

    Press Releases Published: 17/11/2014 Last modified: 01/11/2016
    Extending the next business day rule so that firms have longer to get consumer acceptance that the complaint has been resolved. ... Reviewing the bi-annual Complaints Return to include more consumer-centric measures. Revising the FCA publication of

  5. FCA clarifies fairer treatment of regular premium PPI complaints and proposes new mailing requirements

    Press Releases Published: 07/11/2018 Last modified: 23/10/2023
    The FCA has today issued final guidance that clarifies its expectations about the handling of certain regular premium payment protection insurance (PPI) complaints.

  6. FCA imposes recruitment ban on the Financial Group for failing to control its Appointed Representatives

    Press Releases Published: 23/07/2014 Last modified: 23/07/2014
    and is able to respond with sanctions that target the specific revenue streams of different types of business. ... Without the discount the recruitment ban would have been imposed on each of the firms for 6 months.

  7. Inside FCA Podcast examines how we're regulating a changing pensions sector

    News stories Published: 08/01/2020 Last modified: 08/01/2020
    Read our story which outlines key elements of the Inside FCA Podcast on regulating the changing pensions landscape

  8. FCA publishes results of thematic reviews into enhanced transfer values and SIPP operators

    Press Releases Published: 21/07/2014 Last modified: 21/07/2014
    Thematic review into SIPP operators finds some firms still failing to fulfil regulatory obligations. ... Over the coming months we intend to visit more firms, and expect to see significant improvements.

  9. Update on FCA test case of the validity of business interruption claims

    Press Releases Published: 01/06/2020 Last modified: 01/06/2020
    FCA update on progress on its court action on business interruption (BI) insurance policies

  10. 15 million Brits suffer in silence as they lack confidence to complain

    Press Releases Published: 08/11/2018 Last modified: 08/11/2018
    Three quarters of consumers avoid making complaints Younger generation stew on issues rather than speaking up Poor travel etiquette and unhelpful shop assistants among top unspoken gripes Gok Wan and restaurateur and TV presenter Fred