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Showing 761 to 770 of 784 search results for dealing with vulnerable customers.

761. Market Force and the Chartered Institute’s Nicholas Barbon Lectures

     Speeches Published: 06/02/2013 Last modified: 29/03/2013
     Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London

762. FCA confirms accountability rules for wholesale traders and interim rules on regulatory references

     Press Releases Published: 04/02/2016 Last modified: 19/04/2016
     The new measures will mean that the certification regime will now be extended to those performing two new functions - the “client-dealing” function and the “algorithmic trading” function. ... 7 September 2016: Deadline for firms to identify staff

763. New rules on packaged bank accounts have improved standards, but firms have more work to do on sales and complaints handling

     Press Releases Published: 20/10/2016 Last modified: 20/10/2016
     The Financial Conduct Authority (FCA) has today published findings from its thematic review of packaged bank accounts.

764. FCA commences civil proceedings in relation to alleged unauthorised regulated mortgage contracts and sale & rent back agreements

     Press Releases Published: 13/07/2020 Last modified: 13/07/2020
     The Financial Conduct Authority (FCA) has commenced proceedings in the High Court against London Property Investments (U.K) Limited (LPI), NPI Holdings Limited (NPI), Daniel Stevens (the sole director and shareholder of both companies) and his

765. Regulated financial advice firms and individuals that attempt to avoid their redress liabilities

     Tasks for regulated firms Published: 14/12/2018 Last modified: 13/02/2023
     The FCA provides information to regulated financial advice firms

766. FCA fines Guaranty Trust Bank (UK) Ltd £525,000 for failures in its anti-money laundering controls

     Press Releases Published: 09/08/2013 Last modified: 17/09/2013
     The Financial Conduct Authority (FCA) has fined Guaranty Trust Bank (UK) Ltd (GT Bank) £525,000 for failings in its anti-money laundering (AML) controls for high risk customers between May 2008 and June 2010.

767. Overall complaints fall by 2.1% but banking and credit card complaints increase

     Press Releases Published: 30/09/2015 Last modified: 07/02/2022
     The latest complaints data published by the Financial Conduct Authority (FCA) shows financial services firms received 2,138,209 new complaints between January and June 2015.

768. How innovation and regulation in financial services can drive the UK's economic growth

     Speeches Published: 29/06/2023 Last modified: 29/06/2023
     Speech by Sheldon Mills, Executive Director, Consumers and Competition delivered at the CityUK Annual Conference 2023.

769. Information on non-financial misconduct and financial misconduct allegations - May 2022

     FOI Release Date of Release: 24/05/2022
     The FCA provides information on the types of allegations received by its whistleblowing team.

770. CP18/23: Claims management companies: recovering the costs of regulation and the Financial Ombudsman Service

     Consultation papers Published: 20/08/2018 Last modified: 31/08/2018
     This paper sets out our proposals for recovering the costs of regulating claims management companies (CMCs) when applications open for temporary permissions on 1 January 2019.