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Showing 511 to 520 of 720 search results for firm-level complaints data.

  1. FCA's key priorities for the financial advice industry

    Speeches Published: 02/11/2022 Last modified: 13/06/2023
    Speech by Therese Chambers, our Director of Consumer Investments, delivered at the Personal Finance Society's Festival of Financial Planning.

  2. Mutual societies registration function: 2021-22

    Corporate documents Published: 24/05/2022 Last modified: 24/05/2022
    An update on our work and a breakdown of societies on the register. 

  3. Retail banking: product governance review

    Multi-firm reviews Published: 05/03/2018 Last modified: 05/03/2018
    The latest stage of our supervision work looked at product governance in small and medium-sized retail banks. It examined how well banks consider customers’ needs when they design and sell products and provide after-sales services. We found common

  4. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    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.

  5. Data on Whistleblowing cases about Firms or Advisers since 2011 - July 2021

    FOI Release Date of Release: 26/07/2021
    The FCA provides data on the number of whistleblowing cases about firms or advisers, that have been received by us since 2011.

  6. Reporting requirements: sale and rent back firms

    Tasks for regulated firms Published: 12/05/2015 Last modified: 09/02/2023
    Sale and rent back firms have had a full reporting regime since 2011. Find out what your firm needs to do.

  7. Brexit and financial services: where have we got to?

    Speeches Published: 25/10/2018 Last modified: 26/10/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the City Banquet, Mansion House, London.

  8. International regulatory developments affecting investment management

    Speeches Published: 05/06/2024 Last modified: 05/06/2024
    Speech by Nikhil Rathi, FCA Chief Executive, delivered at the Investment Association Annual Conference 2024.

  9. Data on investigations into greenwashing & ESG misselling - July 2022

    FOI Release Date of Release: 11/07/2022
    The FCA provides information on investigations into greenwashing, ESG misselling and other regulatory breaches involving ESG.

  10. FCA response to Provident’s scheme being approved by the High Court

    Statements Published: 04/08/2021 Last modified: 04/08/2021
    We continue to have significant concerns about Schemes of Arrangement being proposed and used by firms to avoid paying customers redress. The firm remains under investigation for its conduct.
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