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UBS fined £9.45m for failings in its sale of an AIG fund
The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund. -
FCA introduces new rules on handling complaints about Authorised Push Payment fraud
The FCA has published new rules allowing victims of Authorised Push Payment (APP) fraud to complain to the payment services provider (PSP) receiving their payment. -
The Financial Conduct Authority (FCA) bans two individuals from the financial services industry
The FCA has today banned two individuals from performing any function in relation to any regulated activity in the financial services industry. -
Aggregate complaints data: 2016 H1
The FCA collects complaints data from firms to assess how well they are treating their customers and how firms’ performance changes over time. -
FCA fines Sir Christopher Gent for disclosing inside information
The Financial Conduct Authority (FCA) has fined Sir Christopher Gent, former non-executive Chairman of ConvaTec Group Plc, £80,000 for unlawfully disclosing inside information. -
Upper Tribunal publishes decision on Andrew Tinney, the former COO of Barclays Wealth
The Upper Tribunal has found that Andrew Tinney, the former COO of Barclays Wealth and Investment Management, breached his obligation as an approved person to act with integrity. -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
FCA censures Amigo for failing to conduct adequate affordability checks
The FCA has publicly censured Amigo Loans Ltd for failing to conduct adequate affordability checks on borrowers and guarantors. -
Debt management firms must raise their game, says FCA
Since April:. we have issued final notices against two firms who have had their applications refused. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to protect and enhance the -
The FCA has fined Liberty Mutual Insurance Europe SE £5.2 million for failures in its oversight of mobile phone insurance claims and complaints handling
The Financial Conduct Authority (FCA) has fined Liberty Mutual Insurance Europe SE (Liberty) £5,280,800 for failures between 5 July 2010 and 7 June 2015 in its oversight of its mobile phone insurance claims and complaints handling processes