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Showing 1231 to 1240 of 1264 search results for Firm specific complaints data.
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FCA fines Towergate and former director Timothy Philip for client and insurer money failings
In addition, the firm’s failings placed insurer money at risk of loss. ... A fundamental requirement of the CASS Rules is that firms must keep client money separate from firm money in segregated client money bank accounts. -
Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling
The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted -
SM&CR information related to general insurance and protection intermediary firms - June 2022
The FCA provides data on the Senior Managers and Certification Regime (SMCR), in respect of: general insurers and general insurance intermediaries. -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
FCA one year on – effective regulation goes hand-in-hand with sustainable businesses
Speech by Clive Adamson, FCA Director of Supervision, at the Building Societies Association (BSA). This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines former Head of JP Morgan’s CIO International £792,900 for failing to be open and co-operative
Regulators need open communication with firms so that better decisions can be made sooner. ... It would also have encouraged other staff to be open and cooperative in providing information in relation to their specific areas of expertise. -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
This case shows how seriously we view a failure to cooperate with our investigations and our determination to take action against firms where we see wrongdoing.”. ... Deutsche Bank did not have any systems and controls specific to IBOR and did not put -
HSBC agrees to extend redress scheme for customers impacted by historical debt collection practices
HSBC has voluntarily agreed to extend its redress scheme for customers who may have lost out by paying an unreasonable debt collection charge imposed by HFC Bank Ltd (HFC) and John Lewis Financial Services Limited (JLFS), the Financial Conduct -
Important information for debt management customers of Debt Help & Advice Ltd, First Step Finance Ltd or Primary Business Solutions Ltd
The FCA took over regulation of consumer credit, which includes debt management firms, on 1 April 2014. ... The Financial Services Compensation Scheme is not open to customers of consumer credit firms. -
FCA, PRA and Bank of England set out plan to improve diversity and inclusion in regulated firms
The FCA, PRA and Bank of England have opened a discussion with stakeholders on ambitious plans to improve diversity and inclusion in financial services, to achieve better outcomes for consumers and across markets.