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Showing 1191 to 1200 of 1264 search results for Firm specific complaints data.

  1. Information on how Consumer Credit Act 1974 s.75 applies to travel services payments – September 2021

    FOI Release Date of Release: 21/09/2021
    FCA provides information on how Consumer Credit Act 1974 s.75 applies to travel services payments made via travel agents.

  2. Occasional Paper No. 36: Sending out an SMS: The impact of automatically enrolling consumers into overdraft alerts

    Occasional papers Published: 31/05/2018 Last modified: 31/05/2018
    As part of the high-cost credit review, the FCA wanted to understand the impact of auto enrolling customers into overdraft and unpaid item (retry) alerts on customer overdrafting behaviour.

  3. Credit card provider NewDay to provide over £4 million in redress to customers

    Press Releases Published: 24/03/2016 Last modified: 24/03/2016
    NewDay’s scheme will not cover customers charged the relevant fees before 1 April 2014 although the firm will consider any complaints made in respect of these on a ... The FCA expects all firms to consider the fairness and impact of their default fees

  4. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

    Press Releases Published: 09/10/2014 Last modified: 29/11/2021
    The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

  5. Lloyds Banking Group fined £4.3 million for delayed PPI redress payments

    Press Releases Published: 19/02/2013 Last modified: 09/12/2016
    The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress.

  6. PS20/6 Pension transfer advice: feedback on CP19/25 and our final rules and guidance

    Policy and guidance Policy statements Published: 05/06/2020 Last modified: 05/06/2020
    The FCA has published new rules and guidance on pension transfer advice, particularly defined benefit (DB) to defined contribution (DC) transfers. This Policy Statement forms part of a wider package to improve the suitability of pension transfer

  7. Martin Brokers (UK) Limited fined £630,000 for significant failings in relation to LIBOR

    Press Releases Published: 15/05/2014 Last modified: 22/03/2016
    If firms fail to heed these warnings then we will take action against them.”. ... Martins is the second inter-dealer broker firm to be fined for LIBOR misconduct.

  8. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

    Speeches Published: 14/11/2014 Last modified: 20/10/2015
    In fact, I want to argue tonight that it’s the specific combination of behavioural science, data and technology that has turned economics in to such an important feature of conduct ... So, yes, there was the normal financial analysis of firms and

  9. GC14/9 Multilateral Trading Facilities (MTFs) - Dear CEO Letter and FCA Good Practice Observations on MTF Rulebooks

    Guidance consultations Published: 01/12/2014 Last modified: 01/12/2014
    This guidance is likely to be of most relevance to authorised firms operating Multilateral Trading Facilities (MTFs). ... And/ or, if relevant, any specific questions? Please respond by 16 January 2015 (7 weeks).

  10. GC13/1 Proposed guidance on oversight of member controls carried out by recognised investment exchanges (RIEs) and multi-lateral trading facilities (MTFs)

    Guidance consultations Published: 23/04/2013 Last modified: 23/04/2013
    Firms should maintain a pro-active approach to oversight of member controls. ... And/or, if relevant, any specific question? Please respond by: 21 May 2013 (4 weeks).