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Showing 1571 to 1580 of 1744 search results for level complaints data.

  1. Fair, transparent and competitive: the FCA’s vision for the asset management sector

    Speeches Published: 30/10/2013 Last modified: 30/10/2013
    Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. ETF primary market participation and liquidity resilience during stress events

    Research notes Published: 07/08/2019 Last modified: 07/08/2019
    This FCA report sets out actions and recommendations to improve the availability and awareness of alternatives to high-cost credit.

  3. Retail and Wholesale Banking: review of firms’ whistleblowing arrangements

    Multi-firm reviews Published: 14/11/2018 Last modified: 14/11/2018
    We have reviewed how firms have implemented our whistleblowing rules. We have published the findings, including the areas of good practice we observed and areas for improvement, together with our expectations on firms’ whistleblowing arrangements.

  4. FCA fines Charles Schwab UK £8.96 million over safeguarding and compliance failures

    Press Releases Published: 21/12/2020 Last modified: 21/12/2020
    The Financial Conduct Authority (FCA) has fined Charles Schwab UK Ltd (CSUK) £8.96 million for failing to adequately protect client assets, carrying out a regulated activity without permission and making a false statement to the FCA.

  5. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    failure to respond to client complaints appropriately; and. failure to have regard to the statutory and regulatory provisions regarding the promotion of unregulated collective investment schemes (UCIS).

  6. FCA calls for consumers to think back, then act as PPI deadline closes in

    PPI Press Releases Published: 29/07/2019 Last modified: 29/07/2019
    With only one month to go until the 29 August 2019 PPI complaints deadline, the Financial Conduct Authority (FCA) is urging consumers to jog their memories back to the 1990s and 2000s when they may have bought products and were mis-sold PPI at the

  7. Statistics on whistleblowing inquries about firms and advisers - August 2020

    FOI Release Date of Release: 18/08/2020
    FCA provides statistics on whistleblowing inquires about firms and individuals.

  8. FCA imposes penalties on Sonali Bank (UK) Limited and its former money laundering reporting officer for serious anti-money laundering systems failings

    Press Releases Published: 12/10/2016 Last modified: 12/10/2016
    The Financial Conduct Authority (FCA) has fined Sonali Bank (UK) Limited (SBUK) £3,250,600 and has imposed a restriction, preventing it from accepting deposits from new customers for 168 days. It has also fined the bank’s former money laundering

  9. FCA gives update on banks’ overdraft pricing decisions and plans to support consumers

    Statements Published: 01/07/2020 Last modified: 11/11/2021
    Our new rules on overdrafts address both how much the most vulnerable were being charged for unarranged overdrafts, and the level of fees and charges that many arranged overdraft customers were paying on top of interest rates.

  10. Standard Life Aberdeen (clone of FCA recognised product and UK registered company)

    Warnings Published: 29/10/2020 Last modified: 13/07/2021
    Standard Life Aberdeen (clone of FCA recognised product and UK registered company) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with
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