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Financial Conduct Authority publishes first set of data under new complaints rules
The Financial Conduct Authority (FCA) has published data on the number of complaints reported by firms under new rules which came into force on 30 June 2016. -
Finalised Guidance: Cancellations and refunds: Helping consumers with rights and routes to refunds
Since the outbreak of the coronavirus (Covid-19) pandemic, there has been an unprecedented number of cancellations of trips, holidays, and other events. -
PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers
PRA-designated investment firms, and. insurance and reinsurance firms within the scope of Solvency II, the Society of Lloyd’s and managing agents. ... we regulate, such as stockbrokers, mortgage brokers, insurance brokers, investment firms and consumer -
The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer
he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010. -
Impact assessment: Thematic review: Principals and their Appointed Representatives (ARs) in the General Insurance (GI) sector [pdf]
This impact assessment relates to the thematic review of Principals and their Appointed Representatives (ARs) in the General Insurance (GI) sector. It has been verified by the Regulatory Policy Committee. -
FCA publishes decision notices against One Call Insurance Services Limited and John Lawrence Radford
The Financial Conduct Authority has today published Decision Notices in respect of One Call Insurance Services Limited (One Call) and its Chief Executive and majority shareholder John Lawrence Radford. -
FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator
The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials. -
Firm fined £1.8million for "unacceptable" approach to bribery & corruption risks from overseas payments
JLTSL, which provides insurance broking and risk management services, was found to have failed to conduct proper due diligence before entering into a relationship with partners in other countries who helped ... JLTSL also did not adequately assess the -
CP15/17: Capital resources requirements for Personal Investment Firms (PIFs)
providers of professional indemnity insurance (PII) to PIFs. providers of investment platform, professional and other services to PIFs. -
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud
The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in