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Showing 1402 to 1411 of 1595 search results for information on services for vulnerable customers.
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Forms
List of all forms on fca.org.uk For Handbook forms, please use the Handbook forms page. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
Financial Conduct Authority provides update on regulatory sandbox
The Financial Conduct Authority (FCA) today provides an update on its regulatory sandbox and unveils the list of firms that were successful in their applications to begin testing in the second cohort of the sandbox. -
A helping hand for the invisible hand: the FCA’s approach to competition and innovation
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Competition Policy 2018: The relationship between antitrust, innovation and investment, Chatham House, London. -
Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling
The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted -
Barclays fined £26m for failings surrounding the London Gold Fixing and former Barclays trader banned and fined for inappropriate conduct
A firm’s lack of controls and a trader's disregard for a customer's interests have allowed the financial services industry’s reputation to be sullied again. ... systems. Principle 8 of the FCA’s Principles for Businesses – ‘Conflicts of -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
Gulf Merchant Bank (Cloning details of a FCA authorised firm) (clone of FCA authorised firm)
Fraudsters copy the details of firms we authorise to try and convince people that their firm is genuine. Find out why you shouldn’t deal with this clone firm. -
Financial Conduct Authority publishes preliminary findings of review into mobile banking
Consumers may wish to consider the following common sense areas when using a mobile banking service:. ... Find out more information about the FCA, as well as how it is different to the PRA. -
Effective compliance with the Market Abuse Regulation – a state of mind
Indeed the definition of inside information under the longstanding offenses in the Criminal Justice Act 1993 is exceptionally similar to the one in MAR. ... ability to identify inside information, or indeed when it is not) is somewhat patchy. -
Feedback from ‘Working Better Together With Data’ event
A year on from publishing ‘The FCA Data Strategy - How we will manage and use the data we collect', we hosted our first data-focused event – ‘Working Better Together With Data’ on 25 September 2014.