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Showing 691 to 700 of 1264 search results for Firm specific complaints data.

  1. CASS compliance – the bigger picture

    Speeches Published: 02/12/2014 Last modified: 19/12/2014
    Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Where to submit your returns

    Registers and systems Published: 08/05/2016 Last modified: 03/01/2019
    Read our guide for firms to use when submitting notifications to the appropriate regulator.

  3. Recent developments in financial markets

    Speeches Published: 01/03/2018 Last modified: 09/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Association for Financial Markets in Europe (AFME), International Capital Market Association (ICMA) and International Swaps and Derivatives Association (ISDA) breakfast briefing.

  4. The importance of purposeful anti-money laundering controls

    Speeches Published: 01/04/2021 Last modified: 01/04/2021
    Speech by Mark Steward, Executive Director of Enforcement and Market Oversight, delivered at the AML & ABC Forum 2021.

  5. Commentary on the aggregate complaints data 2012 H2 [pdf]

    Data Published: 14/06/2013 Last modified: 04/08/2016
    Commentary on the aggregate sector wide firm complaints data for 2012 H2. Including opened, closed, upheld, speed of closure and redress.

  6. FCA confirms MoUs with ESMA and EU securities regulators

    Statements Published: 17/07/2020 Last modified: 17/07/2020
    The MoUs agreed by the FCA with ESMA and EU regulators will remain relevant and will come into effect at the end of the transition period.

  7. CMCs: how we will authorise and regulate firms

    Claims management companies Published: 17/12/2018 Last modified: 06/02/2023
    Claims management companies are subject to FCA regulation. Read about the standards and rules your firm will need to meet.

  8. IFPR implementation observations: quantifying threshold requirements and managing financial resources

    Multi-firm reviews Published: 27/02/2023 Last modified: 09/03/2023
    Firms should consider these and how they can strengthen their processes.

  9. The institutionalisation of customer service

    Speeches Published: 12/03/2013 Last modified: 01/07/2013
    Speech by Martin Wheatley - Managing Director, Conduct Business Unit at the Chartered Institute for Securities & Investment

  10. FCA proposes changes to rules for crowdfunding platforms

    Press Releases Published: 27/07/2018 Last modified: 27/07/2018
    Following a post-implementation review of its crowdfunding rules, the Financial Conduct Authority (FCA) is opening a consultation on new rules for loan-based crowdfunding platforms.