Search results
Showing 161 to 170 of 639 search results for identification and treatment.
-
Final notice 2020: Moneybarn Limited [pdf]
This final notice (Moneybarn Limited) refers to breaches of PRIN 6, PRIN 7 and the CONC rules related to the unfair treatment of customers in the consumer credit sector. We imposed a financial penalty. -
FCA Final Notice 2014: Andrew Charles Rees [pdf]
This final notice refers to breaches of APER 7 related to unfair treatment of customers, conflicts of interest, and lack of fitness/propriety in the investment advisors and platforms sector. We imposed a prohibition, withdrawal, and public censure. -
Final notice 2016: Robert John Bygrave [pdf]
This final notice refers to breaches of APER 6, FIT and CASS related to appointed representatives, failing to act on information appropriately, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and -
Brexit resources
This page lists our news and statements, speeches, publications and other pages related to Brexit. -
FCA Final Notice 2014: Craig Stuart Cameron [pdf]
This final notice refers to breaches of APER1 and FIT related to lack of fitnes/propriety and unfair treatment of customers in the investment adviser and platform sector. We imposed a fine and a prohibition. -
Dear CEO: Ensuring fair treatment of corporate customers preparing to raise equity finance [pdf]
We expect financial firms to continue to provide strong support and services to customers during this period of disruption due to the Coronavirus (Covid-19) pandemic. -
FCA Decision Notice 2013: Timothy Alan Roberts [pdf]
This decision notice refers to breaches of PRIN 1 and PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. Our view is that a fine and a prohibition should be imposed. -
FCA Final Notice 2013: Swinton Group Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Update on our work around pensions and retirement income
Pensions and retirement income is a priority sector for the FCA. Read more about our policy work and market monitoring in this area. -
Maturing dormant Child Trust Fund accounts
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.