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Showing 761 to 770 of 771 search results for identification of poor.

  1. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

    Press Releases Published: 21/07/2011 Last modified: 24/11/2021
    The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.

  2. Unit-linked funds’ governance review (follow up to PS18/8): findings and next steps

    Multi-firm reviews Published: 24/09/2019 Last modified: 16/08/2023
    We reviewed firms’ governance practices covering the value provided by unit-linked funds.

  3. Consumer credit countdown – Review into debt collection practices of payday lenders starts on day one of FCA regulation

    Press Releases Published: 12/03/2014 Last modified: 30/09/2016
    It is just one part of FCA’s comprehensive and forward looking agenda for tackling poor practice in the high cost short term loan market.

  4. CP14/21: Feedback and Policy Statement on CP14/02, consultation on joint sponsors and call for views on sponsor conflicts

    Consultation papers Published: 26/09/2014 Last modified: 29/05/2018
    Although sponsor conflict management was not the subject of our consultation in responding to CP14/02 respondents did comment on the current approach to the identification and management of conflicts of

  5. A third of over 75s targeted by investment scams, as FCA urges consumers to take the time to check

    Press Releases Published: 05/12/2016 Last modified: 05/12/2016
    A fifth (22%) of over 55s and a third (32%) of over 75s believe they have been targeted by an investment scam in the last 3 years Over half (55%) of those who have invested in financial products did so on their own, rather than making the decision

  6. The FCA fines Porta Verde £25,000 for serious failings in its appointed representatives’ sales practices

    Press Releases Published: 13/12/2013 Last modified: 08/11/2016
    The FCA's investigations revealed examples of extremely poor conduct and mis-selling:.

  7. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

    Press Releases Published: 11/12/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.

  8. The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA

    Press Releases Published: 26/02/2014 Last modified: 26/02/2014
    David Lawton, the FCA's director of markets, said:. “When consumers lose out because of poor conduct it undermines confidence in the integrity of our markets.

  9. Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds

    Multi-firm reviews Published: 16/11/2023 Last modified: 16/11/2023
    We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and

  10. FCA fines five banks £1.1 billion for FX failings and announces industry-wide remediation programme

    Press Releases Published: 12/11/2014 Last modified: 04/11/2019
    The Financial Conduct Authority (FCA) has imposed fines totalling £1,114,918,000 ($1.7 billion) on five banks for failing to control business practices in their G10 spot foreign exchange (FX) trading operations: Citibank N.A. £225,575,000 ($358