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Showing 1471 to 1480 of 1744 search results for level complaints data.
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FCA Board appoints three new members to the Regulatory Decisions Committee
Since her retirement in 2004, Dame Elizabeth has held a number of public positions, including: independent complaints assessor for the Department for Transport; non-executive director at the Serious Fraud Office; -
Tribunal upholds FSA decision to fine firm £8m for market abuse
The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as -
The role of consumer decision-making in ensuring good market dynamics in the mortgage sector
Speech by Christopher Woolard, Director of Strategy and Competition at the FCA, at the Mortgages Conference. -
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. -
FCA and CSRC announce their support for the Shanghai-London Stock Connect scheme
The Financial Conduct Authority (FCA) and the China Securities Regulatory Commission (CSRC) have today made a joint announcement of their approval of the Shanghai and London Stock Exchanges’ proposed new Shanghai-London Stock Connect. They have -
FSA - GC13/3 Code of Practice for the relationship between the external auditor and the supervisor (‘the Code’)
It recognises that sharing relevant information in a timely way is an essential part of an effective working relationship, and it indicates a minimum level of meetings that should take place -
FCA announces proposals to improve outcomes for non-workplace pension customers
We propose that firms offer a new 'default' investment option to help non-workplace pension customers save for their retirement -
The Joint Regulatory Oversight Committee welcomes OBL’s submission of two data collection frameworks
Open Banking Limited (OBL) has published two data collection frameworks. One for levelling up API availability and performance in open banking and the second for mitigating risk of financial crime. -
Consumer credit firms must raise advertising standards, says FCA
The FCA also acts on complaints received from the public and via the Advertising Standards Authority. -
FCA publishes finalised guidance for the fair-treatment of closed-book customers
The Financial Conduct Authority (FCA) has today published its finalised guidance providing firms with detailed information on the actions they should be taking in order to treat their closed-book customers fairly. The FCA wants to ensure that