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Showing 731 to 740 of 1264 search results for Firm specific complaints data.

  1. MiFID II: product governance review

    Multi-firm reviews Published: 26/02/2021 Last modified: 15/04/2021
    In this MiFID II review we looked at product governance in a sample of 8 asset management firms.

  2. Moving towards a sustainable model of regulation

    Speeches Published: 03/11/2015 Last modified: 03/11/2015
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Call for Input: SME access to the Financial Ombudsman Service

    Firms Calls for input Published: 17/03/2023 Last modified: 19/06/2023
    We are looking to start a review of the rules extending SME access to FOS.

  4. Product sales data: process related aspects FAQs

    Registers and systems Published: 06/05/2016 Last modified: 13/06/2022
    Product sales data: process related aspects FAQs

  5. FCA publishes its Annual Funding Requirement for 2013/14

    Press Releases Published: 09/04/2013 Last modified: 15/04/2013
    The Financial Conduct Authority (FCA) has announced its Annual Funding Requirement (AFR) for 2013/14. On 1 April 2013 the FCA and the Prudential Regulation Authority (PRA) replaced the Financial Services Authority (FSA). The Bank of England has

  6. TR13/8 - The governance of unit-linked funds

    Thematic reviews Published: 10/10/2013 Last modified: 10/10/2013
    We did, however, find some specific problems in individual firms, which – if left unchecked – could have led to customers being disadvantaged. ... We have required the firms in our sample to make improvements in response to our detailed findings.

  7. Firms contacted in relation to the unquoted holdings limit - February 2022

    FOI Release Date of Release: 07/02/2022
    The FCA replies to multiple questions related to the unquoted holdings limit.

  8. Statement on funeral plan provider applications

    Statements Published: 15/02/2022 Last modified: 15/02/2022
    From 29 July 2022, the Financial Conduct Authority (FCA) will regulate funeral plan providers, following a change in the law.

  9. Retrospective application of regulatory rules: call for examples

    News stories Published: 21/08/2014 Last modified: 21/08/2014
    We remain interested to hear from firms about times when they believe the FCA (or the FSA) applied its rules retrospectively. ... Please be as specific as you can in order to help us analyse the evidence.

  10. Information on the appointment of a Senior Legal Adviser

    FOI Release Date of Release: 02/07/2021
    The FCA provides information on the appointment of Raj Parker as a part-time Senior Legal Adviser.