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Showing 1911 to 1920 of 2209 search results for identification requirements.

  1. FCA appoints new Director of Enforcement and Market Oversight and Director of Risk

    Press Releases Published: 05/06/2015 Last modified: 08/11/2016
    Between 1995 and 2008 Barbara held a number of senior roles at ABN AMRO, based in The Netherlands, including Senior Vice President, Head of Basel II Requirements.

  2. FCA fines Barclays £72 million for poor handling of financial crime risks

    Press Releases Published: 26/11/2015 Last modified: 26/11/2015
    Barclays went to unacceptable lengths to accommodate the clients.Specifically, Barclays did not obtain information that it was required to obtain from the clients to comply with financial crime requirements.

  3. FCA fines former managing director £45,000 for failure to notify personal trades

    Press Releases Published: 20/12/2019 Last modified: 20/12/2019
    The FCA has fined Kevin Gorman, a former Managing Director at Braemar Shipping Services plc (Braemar), £45,000 for failure to notify personal trades.

  4. FCA fines Metro Bank PLC £10 million and publishes Decision Notices for two of its former executive directors

    Press Releases Published: 12/12/2022 Last modified: 12/12/2022
    Metro Bank PLC fined £10,002,300 for breaching the Listing Rules by publishing incorrect information to investors.

  5. PS22/4: Temporary asset retention requirement for certain firms subject to the proposed British Steel Pension Scheme consumer redress scheme

    Policy statements Published: 25/04/2022 Last modified: 25/04/2022
    We are introducing temporary asset retention rules which apply to certain firms who provided transfer advice to British Steel Pension Scheme (BSPS) members.

  6. Defined Benefit (DB) transfers – further update on our work

    Multi-firm reviews Published: 05/06/2020 Last modified: 24/08/2020
    We set out further findings from our assessment of the suitability of defined benefit (DB) transfer advice, as part of a package of measures to improve standards in this area.

  7. Indigo Michael Limited (trading as Tappily and SafetyNet) enters administration

    News stories Published: 10/01/2023 Last modified: 10/01/2023
    On 9 January 2023, Indigo Michael Limited, trading as Tappily and SafetyNet, went into administration. AlixPartners UK LLP were appointed Joint Administrators. 

  8. PS20/3: Signposting to travel insurance for consumers with medical conditions

    Policy statements Published: 14/07/2019 Last modified: 22/03/2024
    This consultation sets out proposals to help consumers with pre-existing medical conditions (PEMCs) who can sometimes struggle to access affordable travel insurance that covers their medical conditions.

  9. We consult on changes to redress calculations for unsuitable pension transfer advice

    News stories Published: 02/08/2022 Last modified: 13/09/2022
    We have today published a consultation proposing updates to how redress is calculated for unsuitable defined benefit transfers advice, following a periodic review.

  10. CP13/11: Financial Services Compensation Scheme - unincorporated associations and partnerships

    Consultation papers Published: 02/10/2013 Last modified: 07/02/2022
    In this Consultation Paper (CP) we propose that all unincorporated associations and certain large partnerships will become eligible to claim on the Financial Services Compensation Scheme (FSCS) if an investment firm fails.
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