Search results
Showing 421 to 430 of 1264 search results for Firm specific complaints data.
-
The regulatory challenge
You are, within your respective firms, also, I hope, performing those functions I have described. ... To do that successfully requires firms to use their judgement and common sense. -
Case concerning CEO referred to the Upper Tribunal
The FCA found that Ms Grigg failed properly to understand and carry out a number of her specific responsibilities. ... An appointed representative (AR) is a person or firm who conducts regulated activities and acts as an agent for a firm directly -
Consumer Duty firm survey – Autumn 2023
In Autumn 2023, Ipsos UK conducted a second survey with 634 firms not surveyed previously. The FCA wanted to examine how its additional engagement had helped firms prepare for the Consumer Duty. -
Liquidity data items: FAQs
Liquidity data items: FAQs -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
Insurance: business practice, suitability and eligibility
The rules in ICOBS 7 were amended so they were closer to the wording in the Distance Marketing of Consumer Financial Services Directive (DMD). The requirements applying to insurers are unchanged. -
The FCA’s view of green mortgages
Speech by David Geale, Director of Retail Banking, delivered at the London Institute of Banking & Finance mortgage conference. -
FCA consults on complaints handling improvements
Financial services firms will no longer be able to use premium rate telephone numbers for customers as part of a series of proposals from the Financial Conduct Authority (FCA) on changes to the rules on complaint handling and post-sale telephone -
LIBOR transition in the derivatives market
FCA has worked alongside other regulators, trade associations and market participants to enable liquid markets in SONIA derivatives to help the transition from LIBOR -
Going green: the FCA’s developing approach
Speech by Christopher Woolard, Executive Director of Strategy and Competition, delivered at the FCA’s Innovating for a Greener Great Britain event, London.