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Showing 1151 to 1160 of 1264 search results for Firm specific complaints data.
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Key findings on our recent work on pension transfer advice
Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we -
FCA fines Commerzbank London £37,805,400 over anti-money laundering failures
The FCA has today fined Commerzbank AG (London Branch) £37,805,400 for failing to put adequate anti-money laundering (AML) systems and controls in place between October 2012 and September 2017. -
FCA reminds asset managers of importance of meeting investors’ expectations
The review also considered how firms monitored the appropriate distribution of their funds. ... In contrast, five firms were investing in smarter ways to analyse data from their distributors to better understand the types of customers that were investing -
FCA and PRA jointly fine Raphaels Bank £1.89m for outsourcing failings
The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have fined R. Raphael & Sons plc (“Raphaels”) for failing to manage its outsourcing arrangements properly between April 2014 and December 2016. -
Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser
On 21 May 2015 the Tribunal upheld the Authority’s decision to impose a financial penalty of £10,000 on Mr Rosier, the director of a financial advice firm called Bayliss & ... failure to respond to client complaints appropriately; and. failure to have -
Making competition king – the rise of behavioural economics at the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version. -
Draft information for consumers: dealing with financial difficulties during coronavirus
FCA proposes draft information for consumers on dealing with financial difficulties during coronavirus -
Position limits for commodity derivative contracts
We are required to set limits on the maximum size of positions which a person can hold in commodity derivatives. Here we set out these position limits. -
CP14/5: Changes to regulatory reporting: Adviser and consultancy charging, Authorised Professional Firms (APFs) and Product Sales Data (PSD)
introduce changes to how we collect this data with the aim of reducing the reporting obligation for firms. ... Any firms who are or will be subject to the Product Sales Data requirements in SUP 16.11. -
Santander UK to contact borrowers affected by SVR cap margin rise in 2008
Santander UK has agreed to contact more than 270,000 mortgage customers that it did not give clear information when it raised the cap margin linked to its SVR in 2008.