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Showing 441 to 450 of 1744 search results for level complaints data.

441. Financial promotions data 2023

     Data Published: 14/02/2024 Last modified: 13/03/2024
     The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for 1 January 2023 to 31 December 2023.

442. A helping hand for the invisible hand: the FCA’s approach to competition and innovation

     Speeches Published: 11/06/2018 Last modified: 11/06/2018
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Competition Policy 2018: The relationship between antitrust, innovation and investment, Chatham House, London.

443. The Importance of Diversity

     Speeches Published: 05/02/2019 Last modified: 08/02/2019
     Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019.

444. Stanford Barclay

     Warnings Published: 17/10/2014 Last modified: 23/10/2014
     We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.

445. Request for Andrew Bailey Emails on IRHP

     FOI Release Date of Release: 21/04/2022
     The FCA provides copies of Emails sent to or received from the email account of Andrew Bailey between 1 July 2016 and 31 December 2016 in which the term 'IRHP' or 'swaps' appears.

446. Whistleblowing in practice: Case studies

     Firms Published: 21/10/2020 Last modified: 01/02/2024
     Are you thinking about blowing the whistle on wrongdoing? Find out how whistleblowing can help the FCA to act and how the FCA protects other firms.

447. Swiss Privilege

     Warnings Published: 12/04/2018 Last modified: 12/04/2018
     Swiss Privilege is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

448. SCK Securities

     Warnings Published: 27/07/2020 Last modified: 27/07/2020
     SCK Securities is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals.

449. FSA data items FAQs

     Published: 09/05/2016 Last modified: 19/05/2023
     On this page we provide guidance and information for firms on how to complete FSA reports.

450. Senior Managers and Certification Regime

     Tasks for regulated firms Published: 06/07/2015 Last modified: 06/02/2023
     The Senior Managers and Certification Regime (SM&CR) changed how people working in financial services are regulated. See how it applies to your firm.