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Showing 641 to 650 of 741 search results for Implementing the Consumer Duty.
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FCA fines Standard Chartered Bank £102.2 million for poor AML controls
The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML -
FCA appoints executive directors to co-lead Enforcement and Market Oversight
The Financial Conduct Authority (FCA) has appointed Therese Chambers and Steve Smart as joint Executive Directors of Enforcement and Market Oversight. -
FCA outlines approach for implementation of Mortgage Credit Directive and regulatory framework for second charge mortgages
The FCA has proposed that from 21 March 2016 the regulation of second charge mortgages should move from the FCA’s consumer credit regime and instead will be governed by mortgage ... Consultation paper 14/20: Implementing the Mortgage Credit Directive -
FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes
The lax attitude of Leslie and Bennett to their duties was particularly unacceptable when you consider that their firms were involved in promoting the UCIS to thousands of mainstream retail consumers. ... To support this it has three operational -
Claims handling lessons learned from business interruption insurance
The FCA sets out the findings from its review assessing how firms handled Business Interruption (BI) insurance claims following the Supreme Court’s judgment on the BI test case, including examples of good practices and areas where firms have -
FCA finds fund managers’ value assessments significantly improved, but still work to do
Following a review of fund managers’ value assessments, we found that while many firms have better practices in place, some still require improvement. -
Competition in the asset management industry: UK experiences, global implications
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting. -
GC16/1: Proposed guidance on voluntary redress schemes under the Competition Act 1998
Although this consultation does not directly affect consumers, it does explain how we will review and approve redress scheme applications. ... Therefore, consumers, and organisations that advocate consumer interests, may be interested to learn more about -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
A helping hand for the invisible hand: the FCA’s approach to competition and innovation
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Competition Policy 2018: The relationship between antitrust, innovation and investment, Chatham House, London.