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Showing 641 to 650 of 744 search results for implementing the Consumer Duty.
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TR14/21: Retail investment advice: Adviser charging and services
We also commissioned NMG Consulting to conduct consumer research into how consumers interact with advisory firms’ ongoing service propositions. ... Our consumer research highlighted the importance many consumers place on the ongoing service element of -
Chief Executive speaks at APM about recent work and future challenges
Speech by Andrew Bailey, Chief Executive at the FCA, delivered at our 2016 Annual Public Meeting. -
FCA finds fund managers’ value assessments significantly improved, but still work to do
Following a review of fund managers’ value assessments, we found that while many firms have better practices in place, some still require improvement. -
FCA fines Standard Chartered Bank £102.2 million for poor AML controls
The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML -
FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes
The lax attitude of Leslie and Bennett to their duties was particularly unacceptable when you consider that their firms were involved in promoting the UCIS to thousands of mainstream retail consumers. ... To support this it has three operational -
Claims handling lessons learned from business interruption insurance
The FCA sets out the findings from its review assessing how firms handled Business Interruption (BI) insurance claims following the Supreme Court’s judgment on the BI test case, including examples of good practices and areas where firms have -
FCA outlines approach for implementation of Mortgage Credit Directive and regulatory framework for second charge mortgages
The FCA has proposed that from 21 March 2016 the regulation of second charge mortgages should move from the FCA’s consumer credit regime and instead will be governed by mortgage ... Consultation paper 14/20: Implementing the Mortgage Credit Directive -
Artificial Intelligence (AI) update – further to the Government’s response to the AI White Paper
We outline our approach to AI following the Government’s publication of its pro-innovation strategy on AI. -
GC16/1: Proposed guidance on voluntary redress schemes under the Competition Act 1998
Although this consultation does not directly affect consumers, it does explain how we will review and approve redress scheme applications. ... Therefore, consumers, and organisations that advocate consumer interests, may be interested to learn more about -
Competition in the asset management industry: UK experiences, global implications
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Securities Industry and Financial Markets Association's (SIFMA) 2017 Annual Meeting.