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Primary Market Bulletin 33
Welcome to the 33rd edition of the Primary Market Bulletin (PMB). -
FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings
The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced providers in relation to the protection of client assets. -
Comparison of banking providers’ fraud controls
This page contains information about banks’ fraud controls. It is intended to enable consumers and consumer groups to compare how banks protect their customers against fraud, and to help consumers to make better informed choices about their -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
This resulted in a £3.6 million deficit in Towergate’s insurer money bank accounts. ... Final notices for Towergate Underwriting Group Limited and Timothy Philip. -
Authorised fund managers’ assessments of their funds’ value
This review sets out our findings from our review, where we looked at the processes used by different Authorised Fund Managers (AFMs) when they carry out assessments of value (AoVs or 'Value Assessments') for the funds they operate. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
This risk was particularly acute on desks where funds traded in the same instruments. ... The Final Notice for Aviva Investors Global Services Limited. -
Insurance multi-firm review of outcomes monitoring under the Consumer Duty
Our review of insurance firm approaches to monitoring customer outcomes.