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Showing 251 to 260 of 639 search results for identification and treatment.

  1. Getting regulation right

    Speeches Published: 10/10/2016 Last modified: 10/10/2016
    Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, delivered at the LendIt Conference 2016.

  2. News for WorldSpreads Customers

    News stories Published: 19/03/2012 Last modified: 23/04/2013
    On 18th March 2012, we confirmed that WorldSpreads Limited, a spreadbetting company, entered the Special Administration regime (SAR).

  3. FCA fines Henderson £1.9m for fund failings

    Press Releases Published: 20/11/2019 Last modified: 24/01/2020
    The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North

  4. Final Notice 2017: Foreman Financial Services Limited [pdf]

    Final notices Published: 24/10/2017
    This final notice refers to breaches of COND, DISP, PRIN 6 and PRIN 11 related to threshold conditions, unfair treatment of customers and failing to be open and co-operative in the consumer credit and investment adviser sectors. We imposed a

  5. Final Notice 2023: Lighthouse Advisory Services Limited [pdf]

    Final notices Published: 15/05/2023
    This Final Notice refers to breaches of Principles 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We published a public censure

  6. A to Z of financial terms - Identification and treatment

    Consumers Published: 20/03/2023 Last modified: 20/03/2023
    A to Z of financial services to help you understand financial and legal terms.

  7. Report wrongdoing or misconduct in financial services

    Last modified: 27/02/2023
    If you're a firm or professional with information about potential or actual wrongdoing or misconduct in an area of financial services that we regulate, you can use our web form to report it.

  8. Final Notice 2019: Standard Life Assurance Limited [pdf]

    Final notices Published: 23/07/2019
    This final notice (Standard Life Assurance Limited) refers to breaches of PRIN 3, PRIN 6 and COBS related to the unfair treatment of customers in the Life Insurance sector. The FCA imposed a financial penalty.

  9. FCA statement regarding NatWest Group

    Statements Published: 27/10/2023 Last modified: 27/10/2023
    As previously set out, we have been intensifying supervisory work in relation to NatWest Group and Coutts since the widely reported events earlier this year.

  10. Final Notice 2022: Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants) (in liquidation) [pdf]

    Final notices Published: 02/12/2022
    This Final Notice (Pembrokeshire Mortgage Centre Limited (trading as County Financial Consultants)) refers to breaches of Principles 3, 7 and 9 related to the provision of unsuitable defined benefit pension transfer advice in the pensions sector. We