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Showing 261 to 270 of 639 search results for identification and treatment.
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Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
International policy and commodities markets regulation
Find out how international policy influences regulation of commodities markets and the affect of likely changes. -
Financial Lives: The experiences of vulnerable consumers [pdf]
This research aims to enhance the FCA's understanding of the experiences of consumers who show characteristics of vulnerability. It will inform the FCA's work in relation to vulnerable consumers, including guidance for firms on the fair treatment of -
Final Notice 2019: Henderson Investment Funds Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to the unfair treatment of customers in the Asset Management sector. We imposed a financial penalty. -
FCA publishes 2016/17 Business Plan
The seven themes are: pensions, financial crime and anti-money laundering, wholesale financial markets, advice, innovation and technology, firms’ culture and governance, and the treatment of existing customers. -
Sustainability TechSprint
In October 2021 we held a TechSprint focused on building technological solutions to overcome challenges faced by regulators in monitoring ESG Data and Disclosures. -
FCA Final Notice 2014: Stonebridge International Insurance Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to unfair treatment of customers, mis-selling, and culture/governance in the general insurance and protection sector. We imposed a fine and redress. -
LIBOR transition in the derivatives market
FCA has worked alongside other regulators, trade associations and market participants to enable liquid markets in SONIA derivatives to help the transition from LIBOR -
FCA decision notice 2015: Charles Palmer [pdf]
This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty -
Final Notice 2017: Bluefin Insurance Services Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 7 related to conflicts of interest, culture/governance and unfair treatment of customers in the general insurance and protection sector. We imposed a fine.