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Showing 51 to 60 of 771 search results for identification of poor.

51. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

    Press Releases Published: 25/01/2018 Last modified: 25/01/2018
    The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

52. Non-financial counterparties subject to EMIR: 2014 review

    Markets policy Published: 26/07/2016 Last modified: 11/01/2023
    The findings from the FCA's 2014 review on how non-financial counterparties (NFCs) calculate the clearing threshold and how they are complying with European Market Infrastructure Regulation (EMIR).

53. Adviser Mark Abley pays £106k for poor pension transfer advice

    Press Releases Published: 26/06/2023 Last modified: 26/06/2023
    The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers.

54. Advice checker: defined benefit pension transfers

    Consumers Your rights Published: 03/06/2020 Last modified: 24/06/2024
    Find out if the defined benefit (DB) pension transfer advice you received was right for you. If you received unsuitable advice you could be owed money.

55. Complaints handling review findings

    Multi-firm reviews Published: 15/08/2018 Last modified: 15/08/2018
    The findings of our review of how Non-deposit Taking Mortgage Lenders (NDTMLs) and Mortgage Third-Party Administrators (MTPAs) handle complaints.

56. Remedying Poor Value Legacy Workplace Pension Schemes: Findings from the Joint Review of Industry Progress against the Independent Project Board Recommendations [pdf]

    External research Published: 13/12/2016
    This report summarises the findings from the Department for Work and Pensions and the Financial Conduct Authority’s joint review of industry progress in remedying poor value workplace pension schemes. It also outlines next steps and the key

57. Transforming culture in financial services

    Speeches Published: 19/03/2018 Last modified: 19/03/2018
    Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.

58. Dual-regulated firms Remuneration Code (SYSC 19D)

    Tasks for firms Published: 21/06/2015 Last modified: 05/12/2023
    How SYSC 19D applies to dual-regulated firms, comprising banks, building societies and PRA-designated investment firms.

59. Financial promotions quarterly data 2024 Q1

    Data Published: 26/04/2024 Last modified: 26/04/2024
    We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 January 2024 and 31 March 2024.

60. Retail banking: our review of Basic Bank Accounts

    Multi-firm reviews Published: 11/02/2020 Last modified: 12/02/2020
    We have reviewed how retail banks provide information about Basic Bank Accounts.