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Showing 1291 to 1300 of 1522 search results for needs of their vulnerable customers.
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Financial watchdog bans referral fees for debt packagers to help struggling consumers
The FCA is banning certain providers of debt advice from receiving referral fees from debt solution providers. -
Cyber and Technology Resilience: Themes from cross-sector survey 2017-18
To gain a better understanding of the industry’s resilience, we surveyed 296 firms during 2017 and 2018 to assess their technology and cyber capabilities. -
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. -
FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud
The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
We are determined that firms need to take the matter of manipulation of any benchmark seriously and will be working with firms to seek out any issues that may remain.’. ... Using our new power we want to tackle harm to consumers who are most at risk -
Remuneration and performance management of sales staff (SYSC 19F)
FCA provides rules on staff incentives and the remuneration of sales staff and advisers. -
The FCA’s approach to supervising wealth management and private banking firms
Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
RMA-G training and competence: help text
RMA-G training and competence: help text -
CP17/1: Financial Services Compensation Scheme – management expenses levy limit 2017/18
In a joint consultation with the Prudential Regulation Authority (PRA), we are consulting on the management expenses levy limit (MELL) for the Financial Services Compensation Scheme (FSCS). -
Improper delegation of authorised activities - a notice for financial adviser firms and their advisers
Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of