Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 161 to 170 of 451 search results for also required to publish complaints data.

  1. Market Watch 67

    Newsletters Published: 28/05/2021 Last modified: 28/05/2021
    Newsletter on market conduct and transaction reporting issues.

  2. CMCs: how we will authorise and regulate firms

    Claims management companies Published: 17/12/2018 Last modified: 06/02/2023
    Claims management companies are subject to FCA regulation. Read about the standards and rules your firm will need to meet.

  3. FSA publishes its Internal Audit Report on: review of the extent of awareness within the FSA of inappropriate LIBOR submissions

    Press Releases Published: 05/03/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has published its Internal Audit Report (the Report) on the London Interbank Offered Rate (LIBOR).

  4. Financial promotions quarterly data 2021 Q3

    Data Published: 15/10/2021 Last modified: 27/04/2022
    The FCA publishes data on the number of financial promotions that have been amended or withdrawn due to non-compliance with the FCA's rules. This data is for 2021 Q3.

  5. Financial promotions quarterly data 2021 Q2

    Data Published: 21/07/2021 Last modified: 25/04/2022
    The FCA publishes data on the number of financial promotions that have been amended or withdrawn due to non-compliance with the FCA's rules. This data is for 2021 Q2.

  6. The Financial Conduct Authority publishes review into delivering ‘independent’ financial advice following the implementation of the Retail Distribution Review

    Press Releases Published: 20/03/2014 Last modified: 20/03/2014
    The Financial Conduct Authority publishes review into delivering ‘independent’ financial advice following the implementation of the Retail Distribution Review. ... The FCA is also clarifying certain issues to provide further support for those firms

  7. Personal data and recruitment

    Last modified: 22/02/2023
    How and why the FCA uses applicants' personal data collected during the recruitment process.

  8. Personal data and handling complaints about us

    Last modified: 22/02/2023
    How and why the FCA uses personal data when investigating a complaint someone has made about the organisation.

  9. Maturing dormant Child Trust Fund accounts

    Investment managers Published: 09/11/2020 Last modified: 09/11/2020
    Information for Child Trust Fund (CTF) providers on the treatment of dormant accounts at maturity, including legislative changes and how to apply for a modification by consent if a client can’t be contacted.

  10. FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms

    Press Releases Published: 13/08/2015 Last modified: 19/04/2016
    While individuals who fall under this regime will continue to be pre-approved by regulators, firms will also be legally required to ensure that they have procedures in place to assess ... First annual submission notifying breaches of the Conduct Rules
Related topics