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Showing 1451 to 1460 of 1744 search results for level complaints data.
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Investment managers still failing to ensure effective oversight of best execution
We outline findings from supervisory work looking at how investment managers deliver best execution for their clients. -
British and Australian regulators strengthen cooperation on FinTech through Enhanced Cooperation Agreement
The Financial Conduct Authority (FCA) and the Australian Securities and Investments Commission (ASIC) today signed an Enhanced Cooperation Agreement between their Innovation Hubs to extend their existing agreement of cooperation and coordination on -
Update on FCA test case of the validity of business interruption claims
FCA update on progress on its court action on business interruption (BI) insurance policies -
FS16/4: Feedback Statement on Call for Input: Supporting the development and adopters of RegTech
The high level of interest in RegTech and importance to the market was demonstrated by the outstanding level of interest and quality of the responses. -
FCA places restrictions on twice as many consumer investment firms this year
The FCA has placed restrictions on twice as many firms in the investment market compared to last year, as part of its strategy designed to prevent harm in the consumer investment market. -
GC15/2 General guidance on the application of ex-post risk adjustment to variable remuneration
Following our annual review of the remuneration policies and practices of the proportionality Level 1 firms, we are consulting on revised general guidance on the application of ex-post risk adjustment -
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. -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
Competition and innovation in financial services: the regulator’s perspective
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Cheung Kong Graduate School of Business. -
Ten years after Lehman: how accountants can make finance safer
Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer.