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Showing 411 to 420 of 516 search results for Retail banking Consumer Duty.

  1. Speech: The economic challenge of regulating the mortgage market

    Insight Published: 04/11/2016 Last modified: 17/02/2017
    At the same time, mortgages are the biggest financial transaction that many consumers make. ... Consumers struggle with complex calculations and terms (FCA paper in prep; Dellaert & Stremersch).

  2. Continuing Professional Development (CPD) and professional qualification exams during coronavirus

    Tasks for regulated firms Published: 27/05/2020 Last modified: 10/02/2023
    During the current pandemic, we expect firms to continue to demonstrate that relevant individuals remain competent to carry out their work.

  3. Investor relations in an increasingly regulated and international world

    Speeches Published: 19/06/2013 Last modified: 18/07/2013
    Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

  4. Preparing for Brexit in financial services: the state of play

    Speeches Published: 16/09/2019 Last modified: 16/09/2019
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London

  5. Payday firm CFO Lending to pay £34 million redress

    Press Releases Published: 19/09/2016 Last modified: 27/06/2019
    Payday firm, CFO Lending, has entered into an agreement with the Financial Conduct Authority (FCA) to provide over £34 million of redress to more than 97,000 customers for unfair practices. The redress consists of £31.9 million written-off

  6. FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

    Press Releases Published: 16/08/2013 Last modified: 17/09/2013
    Other enforcement proceedings connected to these matters are on-going. Bill Sillett, head of FCA retail enforcement, said:. ... The lax attitude of Leslie and Bennett to their duties was particularly unacceptable when you consider that their firms were

  7. Asset management: common errors when applying for authorisation

    Firm authorisation Published: 15/04/2024 Last modified: 15/04/2024
    Avoid delays and increase your chances of being authorised to work in the UK asset management sector.

  8. TR15/12: Wealth management firms and private banks: suitability of investment portfolios

    Thematic reviews Published: 09/12/2015 Last modified: 13/10/2016
    This report presents the findings from our review of suitability of retail investment portfolios provided by wealth management and private banking firms and includes examples of good and poor practice to ... Speech July 2013: The FCA’s approach to

  9. Investment Funds, Markets Liquidity and the Investor

    Speeches Published: 24/03/2016 Last modified: 23/06/2016
    Speech by David Lawton, Director of Markets Policy and International, FCA, delivered at The 9th Financial Risk International Forum in Paris on 21 March 2016. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Improving the Appointed Representatives regime through greater use of data

    Data Published: 28/09/2023 Last modified: 03/10/2023
    This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and
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