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Showing 201 to 210 of 639 search results for identification and treatment.

  1. Final Notice 2015: Paivi Grigg [pdf]

    Final notices Published: 11/12/2015 Last modified: 17/12/2015
    This final notice refers to breaches of APER 6 related to appointed representatives, culture/governance and unfair treatment of customers in the investment adviser sector . We imposed a fine.

  2. Consumer credit – Treating customers fairly

    Consumer credit firms Published: 23/04/2019 Last modified: 16/02/2023
    We set out why treating customers fairly should be at the heart of your business.

  3. Do the right thing

    Speeches Published: 01/06/2023 Last modified: 30/10/2023
    Speech by Therese Chambers, Joint Executive Director of Enforcement and Market Oversight, delivered at the City & Financial FCA Investigations and Enforcement summit.

  4. Final Notice 2015: Merlin Loans and Mortgages Limited [pdf]

    Final notices Published: 14/09/2015 Last modified: 14/09/2015
    This final notice refers to breaches of PRIN 6, PRIN 11, DISP and COND related to threshold conditions, failing to be open and co-operative, and unfair treatment of customers in the consumer credit sector. We imposed a cancellation.

  5. Mortgages and coronavirus: updated guidance for firms

    Policy and guidance Finalised guidance Published: 01/06/2020 Last modified: 17/08/2021
    FCA update to our guidance for firms on mortgages and coronavirus

  6. Conduct Risk Briefing

    Speeches Published: 28/11/2014 Last modified: 28/11/2014
    Speech by Robert Taylor, Head of Wealth Management & Private Banking, at the FCA. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Transparency in insurance renewals

    Tasks for regulated firms Published: 08/03/2017 Last modified: 14/02/2023
    Find out how to make sure you are complying with our rules when renewing policies with your customers.

  8. Mortgages and coronavirus: updated draft guidance for firms

    Policy and guidance Guidance consultations Published: 22/05/2020 Last modified: 17/08/2021
    FCA proposes updated draft guidance for firms on mortgages, debt advice and coronavirus

  9. Our regulatory focus on commodity markets

    Markets Regulated markets Published: 22/04/2016 Last modified: 14/12/2022
    Find out about key areas of our commodity markets regulation, including recognised bodies, warehousing, market abuse and actions we take.

  10. FCA Final Notice 2014: Forex Capital Markets Limited (FXCM Ltd) and FXCM Securities Limited (FXCM Securities) [pdf]

    Final notices Published: 26/02/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 6, PRIN 11, and COBS related to unfair treatment of customers, and failing to be open and co-operative in the trading firms sector. We imposed a fine and redress.