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FCA finds firms fail to deliver best execution
The review included:. Retail banks. Investment banks. Wealth managers. Providers and brokers of shares in contract for difference (contracts where the profit made or loss avoided depends on changes in the ... Brokers of options traded on the London -
Firm level complaints data 2020 H1 [xlsx]
Firm level complaints data 2020 H1. For firms submitting 500 or more opened complaints within their six month reporting period, 1,000 or more if they have an annual reporting period. Contains opened, closed, upheld and speed of closure. -
Final notice 2016: Park Grove Financial Management Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation. -
Final Notice 2018: Claims Assessor Ltd [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the General Insurance and Protection sector and consumer credit sector. We imposed a -
DP22/6: Future Disclosure Framework
The way consumers buy retail investments is evolving. Give your views on how we prepare retail disclosure for the future. -
Express Gifts Ltd enters into £12.5m redress scheme
Express Gifts Ltd, a direct mail order and online business with permission to sell general insurance products, has entered into an agreement with the Financial Conduct Authority (FCA) to provide £12.5m redress to approximately 330,000 customers who -
Five sentenced in FCA prosecution of £2.8m investment fraud
Operation Tidworth was the FCA’s second largest ever criminal prosecution. The instigator and main beneficiary of the fraud, Michael Nascimento, will be sentenced separately on 14 September 2018. -
RMA-J Data required for collection of fees/RMA-K Adviser charges: FAQs
RMA-J Data required for collection of fees/RMA-K Adviser charges: FAQs -
Firm level complaints data 2019 H2 [xlsx]
Firm level complaints data 2019 H2. For firms submitting 500 or more opened complaints within their six month reporting period, 1,000 or more if they have an annual reporting period. Contains opened, closed, upheld and speed of closure. -
FCA publishes its Annual Funding Requirement for 2013/14
The Financial Conduct Authority (FCA) has announced its Annual Funding Requirement (AFR) for 2013/14. On 1 April 2013 the FCA and the Prudential Regulation Authority (PRA) replaced the Financial Services Authority (FSA). The Bank of England has