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Showing 931 to 940 of 1264 search results for Firm specific complaints data.

  1. Reducing and preventing financial crime

    Corporate documents Published: 08/02/2024 Last modified: 08/02/2024
    We are providing an update on our progress and looking ahead to identify 4 areas of focus in the coming year.

  2. The regulation of advice – recommendations post FAMR

    Speeches Published: 20/04/2016 Last modified: 20/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the Westminster and City industry forum on FAMR, on 13 April 2016. This is the text of the speech as drafted, which may differ from the delivered version.

  3. Product sales data: reporting of advised and non-advised sales FAQs

    Registers and systems Published: 06/05/2016 Last modified: 13/06/2022
    Product sales data: reporting of advised and non-advised sales FAQs

  4. FCA confirms increase in Financial Ombudsman Service award limit

    Press Releases Published: 08/03/2019 Last modified: 08/03/2019
    The Financial Conduct Authority (FCA) has today confirmed that the Financial Ombudsman Service will soon be able to require financial services firms to pay significantly more compensation to consumers and businesses.

  5. Mark Lyttleton sentenced to 12 months imprisonment for insider dealing

    Press Releases Published: 21/12/2016 Last modified: 21/12/2016
    In a prosecution brought by the Financial Conduct Authority (FCA) Mark Lyttleton, a former Equity Portfolio Manager at BlackRock Investment Management (UK) Limited, has today been sentenced to 18 months reduced with credit to 12 months on two counts

  6. GC15/2 General guidance on the application of ex-post risk adjustment to variable remuneration

    Guidance consultations Published: 26/03/2015 Last modified: 26/03/2015
    The consultation period closed on 31 October 2014. We did not receive any formal responses specific to Appendix 6. ... Views are welcomed on all areas of the guidance consultation, including in response to the specific questions posed:.

  7. Enhancing the UK’s capital markets – The FCA’s role and priorities

    Speeches Published: 08/02/2022 Last modified: 08/02/2022
    Speech by Sarah Pritchard, Executive Director, Markets, to City & Financial Global’s The Future of UK Financial Regulation Summit.

  8. Continuous payment authorities: it is your right to cancel

    News stories Published: 27/06/2013 Last modified: 18/05/2021
    Find out your rights when cancelling a continuous payment authority and what to do if your bank does not allow you to do this.

  9. CP15/20: Investing in authorised funds through nominees

    Consultation papers Published: 22/06/2015 Last modified: 22/06/2015
    We are planning two separate pieces of work that are likely to affect the rationale for most of COBS 14.4: a discussion paper on improving firms’ communications with customers and ... CP15/20: Investing in authorised funds through nominees [PDF]. This

  10. Investment managers still failing to ensure effective oversight of best execution

    Multi-firm reviews Published: 03/03/2017 Last modified: 25/11/2021
    We outline findings from supervisory work looking at how investment managers deliver best execution for their clients.