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Showing 1661 to 1670 of 1744 search results for level complaints data.

1661. Testing how Authorised Fund Managers are embedding the Guiding Principles in ESG and sustainable investment funds

      Multi-firm reviews Published: 16/11/2023 Last modified: 16/11/2023
      We set out findings from our supervisory work that looked at how authorised fund managers (AFMs) comply with existing regulatory requirements and expectations on the design, delivery and disclosure of Environmental, Social and Governance (ESG) and

1662. New rules will protect consumers from harmful fee-charging credit broking practices, says FCA

      Press Releases Published: 01/12/2014 Last modified: 02/12/2014
      consumers facing difficulty in identifying the firm that has taken a fee, and in obtaining a refund from the firm or a response to their complaint. ... Over 40 per cent of consumer credit complaints received by the FCA relate to credit brokers, 80 per

1663. Prudential Regulation Authority and Financial Conduct Authority consult on proposals to improve responsibility and accountability in the banking sector

      Press Releases Published: 30/07/2014 Last modified: 04/11/2019
      The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have today published two joint consultation papers aimed at improving individual responsibility and accountability in the banking sector.

1664. PS18/15: Extending the Senior Managers & Certification Regime to insurers – Feedback to CP17/26 and CP17/41 and near-final rules

      Policy statements Published: 26/07/2017 Last modified: 04/07/2018
      We have published near-final rules on the extension of the Senior Managers and Certification Regime to all FSMA authorised firms.

1665. CP13/13: The FCA’s regulatory approach to crowdfunding (and similar activities)

      Consultation papers Published: 24/10/2013 Last modified: 30/08/2015
      CP13/13: The FCA’s regulatory approach to crowdfunding (and similar activities). Consultation papers First published:. 24/10/2013. Last updated: 30/08/2015. Share page. CP13/13: The FCA’s regulatory approach to crowdfunding (and similar

1666. FCA response to the CMA’s final report on its investigation of investment consultancy and fiduciary management services

      Statements Published: 12/12/2018 Last modified: 12/12/2018
      Today the Competition and Markets Authority (CMA) published the final report and remedies for its market investigation of investment consultancy and fiduciary management services.

1667. lyxorassetmanagement.com (Clone of a Previously Authorised firm, and a current Authorised FCA Firm)

      Warnings Published: 14/06/2024 Last modified: 18/06/2024
      lyxorassetmanagement.com (Clone of a Previously Authorised firm, and a current Authorised FCA Firm) 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

1668. FCA secures High Court Judgment awarding injunction and over £7 million in penalties against five defendants for market abuse

      Press Releases Published: 11/08/2015 Last modified: 18/11/2021
      The High Court today held that the Financial Conduct Authority (FCA) is entitled to permanent injunctions and penalties totalling £7,570,000 against Da Vinci Invest Ltd, Mineworld Ltd, Mr Szabolcs Banya, Mr Gyorgy Szabolcs Brad and Mr Tamas Pornye

1669. Beesley lecture: Economics, technology and data - Redefining the future of conduct regulation

      Speeches Published: 14/11/2014 Last modified: 20/10/2015
      Instead, interventions are guided by serious analytical research and data into what works in that particular market. ... But as we saw in July’s interim report, the data we hold shows there are clear issues here.

1670. FCA says firms must do more to ensure financial promotions do not mislead

      Press Releases Published: 13/08/2014 Last modified: 29/11/2016
      The FCA acts on complaints received from the public, the Advertising Standards Authority and other organisations.