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Showing 1211 to 1220 of 1264 search results for Firm specific complaints data.

  1. FCA stops Alexander David Securities Limited disposing of assets without permission

    Statements Published: 29/04/2022 Last modified: 29/04/2022
    The FCA has imposed requirements on corporate advisory firm, Alexander David Securities Limited (ADSL), which means it must not dispose of any assets without the written consent of the FCA. Since 29 June 2020, ADSL has not been permitted to

  2. FCA says firms must do more to ensure financial promotions do not mislead

    Press Releases Published: 13/08/2014 Last modified: 29/11/2016
    FCA says firms must do more to ensure financial promotions do not mislead. ... The FCA acts on complaints received from the public, the Advertising Standards Authority and other organisations.

  3. The FCA sets out in detail how it will regulate consumer credit, including payday lending, when it takes over responsibility in April 2014

    Press Releases Published: 03/10/2013 Last modified: 29/11/2016
    The FCA will keep this under review. A robust authorisation gateway to ensure that any firm or individual authorised to do consumer credit business is fit and proper, and that firms ... Early 2014. Announcement of dates (starting in autumn 2014) by when

  4. Financial services regulation and enforcement: recent developments and emerging issues

    Speeches Published: 09/10/2013 Last modified: 10/10/2013
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. PS19/2: Previously rejected PPI complaints and further mailing requirements – Feedback on CP18/33 and final rules and guidance

    Policy statements Published: 07/11/2018 Last modified: 01/02/2019
    In this Policy Statement (PS) we summarise and respond to feedback to Consultation Paper CP18/33: Regular premium PPI complaints and recurring non-disclosure of commission – Feedback on CP18/18, final guidance, and consultation on proposed mailing

  6. Consumer Duty implementation: good practice and areas for improvement

    Good and poor practice Published: 20/02/2024 Last modified: 22/02/2024
    What firms are doing well and what they could do better.

  7. TR16/5: UK equity market dark pools – Role, promotion and oversight in wholesale markets

    Thematic reviews Published: 21/07/2016 Last modified: 15/11/2016
    This review explores and seeks to address specific concerns that have been raised in relation to dark pools in the UK equity market. ... We also encourage all firms to continue to prepare for forthcoming regulatory changes.

  8. Coronavirus and safeguarding customers’ funds: proposed guidance for payment firms

    Policy and guidance Guidance consultations Published: 22/05/2020 Last modified: 05/06/2020
    Short consultation proposing additional temporary guidance to strengthen payment firms’ prudential risk management and arrangements for safeguarding customers’ funds in light of the exceptional circumstances of the coronavirus pandemic

  9. The Financial Conduct Authority publishes review into delivering ‘independent’ financial advice following the implementation of the Retail Distribution Review

    Press Releases Published: 20/03/2014 Last modified: 20/03/2014
    Most firms are using the ‘independent’ tag correctly, which is important in helping consumers understand what service they are buying. ... services to their customers and whether firms that are describing themselves as ‘independent’ are acting

  10. Watch out for signs of loan fee fraud as summer spending fuels financial pressure

    Press Releases Published: 09/08/2023 Last modified: 09/08/2023
    With summer in full swing, the FCA launches its latest campaign to help consumers spot and avoid loan fee fraud.