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Showing 691 to 700 of 771 search results for identification of poor.

  1. PS23/9: Finalised insurance guidance on supporting customers in financial difficulty’

    Policy statements Published: 03/07/2023 Last modified: 03/07/2023
    FCA summarises the feedback received to CP23/1 on insurance guidance for supporting customers in financial difficulty and set out response and finalised guidance.

  2. FCA reminds asset managers of importance of meeting investors’ expectations

    Press Releases Published: 07/04/2016 Last modified: 07/04/2016
    Fund management firms that did not effectively manage risks that could lead to poor customer outcomes will be required to make improvements to their practices.

  3. PS23/15: Remuneration: Ratio between fixed and variable components of total remuneration

    Policy statements Published: 19/12/2022 Last modified: 24/10/2023
    We set out joint rule changes with the Prudential Regulation Authority (PRA) to remove the existing limits on the ratio between fixed and variable components of total remuneration (‘the bonus cap’).

  4. Improper delegation of authorised activities - a notice for financial adviser firms and their advisers

    Multi-firm reviews Published: 30/11/2015 Last modified: 18/05/2017
    Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of

  5. TR20/1: The effectiveness of Independent Governance Committees and Governance Advisory Arrangements

    Thematic reviews Published: 24/06/2020 Last modified: 24/06/2020
    We reviewed how effectively Independent Governance committees (IGCs) and Governance Advisory Arrangements (GAAs) are improving the value for money of workplace pensions.

  6. Creating a fair and competitive environment for retail banking in the interests of consumers

    Speeches Published: 26/11/2014 Last modified: 26/11/2014
    Speech by Karina McTeague, Director of Retail Banking, the FCA. This is the text of the speech as drafted, which may differ from the delivered version.

  7. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  8. Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert

    News stories Published: 28/04/2014 Last modified: 28/04/2014
    Generally speaking, we found very poor standards of advice. Firms typically failed to carry out an adequate assessment of the customer’s overall financial position, needs, attitude to risk and objectives ... Advisers’ understanding of non-mainstream

  9. Information on time taken to process new authorisations/Section 178 Notices - November 2022

    Firm authorisation Firm and market data Published: 29/11/2022 Last modified: 09/01/2024
    FCA provides information on information on time taken to process new authorisations/Section 178 Notices.

  10. FCA publishes occasional papers on behavioural economics exploring how people make financial decisions

    Press Releases Published: 10/04/2013 Last modified: 10/04/2013
    The Financial Conduct Authority (FCA) has published two occasional papers on behavioural economics to explore how people make financial decisions.