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Showing 771 to 780 of 1264 search results for Firm specific complaints data.

  1. Information for ARM investors

    News stories Published: 04/10/2013 Last modified: 04/10/2013
    There have been a number of developments recently that affect investors in bonds issued by ARM Asset Backed Securities SA (ARM), a securitisation vehicle based in Luxembourg. We take a look at some frequently asked questions.

  2. MS23/1: Wholesale data market study: benchmarks, credit ratings data and market data vendors

    Market studies Published: 02/03/2023 Last modified: 29/02/2024
    We have launched the wholesale data market study with the publication of our terms of reference and Market Study notice.

  3. The FCA holds key conference on financial crime

    Press Releases Published: 01/07/2013 Last modified: 03/07/2013
    Review announced into how UK banks control money laundering, terrorist financing and sanctions risks in trade finance.

  4. Whistleblowing in UK branches of foreign banks: PS17/7

    Policy statements Published: 28/09/2016 Last modified: 03/05/2017
    This Policy Statement introduces our final rules on whistleblowing requirements for UK branches of foreign banks. It does not apply to UK branches of overseas insurers.

  5. FCA commits to being a more innovative, assertive and adaptive regulator

    Press Releases Published: 15/07/2021 Last modified: 15/07/2021
    The commitment reflects the FCA’s Business Plan for 2021/22, the first annual plan since Nikhil Rathi joined the FCA as Chief Executive in October 2020

  6. FG20/1: Assessing adequate financial resources

    Finalised guidance Published: 11/06/2020 Last modified: 11/06/2020
    We are publishing final guidance on a framework to help financial services firms ensure they have adequate financial resources and to take effective steps to minimise harm.

  7. Signposting to pensions guidance: our findings

    Research insights Published: 13/07/2016 Last modified: 17/08/2021
    Since April 2015, consumers have had greater choice around how they access their Defined Contribution (DC) pension savings. It is important that consumers looking to access these savings understand the consequences of the decisions they make.

  8. Reforming our capital markets ecosystem

    Speeches Published: 29/03/2023 Last modified: 08/01/2024
    Speech by Nikhil Rathi, our Chief Executive delivered at the Global Investment Management Summit.

  9. Do I need to worry about benchmark regulation?

    Speeches Published: 04/02/2016 Last modified: 04/02/2016
    Speech by Edwin Schooling Latter, Head of Markets Policy, FCA, delivered at CISI European Regulation Forum on 2 February 2016. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    at this issue in detail, we had concerns that using this transaction cost mechanism to pay for access favoured firms generating the highest execution commissions with a broker, so potentially those ... and less impacted by potentially competing incentives