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Showing 1321 to 1330 of 1522 search results for needs of their vulnerable customers.

1321. Information on 10% depreciation notifications from February 2020 - January 2022

      FOI Release Date of Release: 21/01/2022
      The FCA responds regarding the investigations opened by the FCA into potential breaches of COBS 16A.4.3.

1322. FCA publishes the findings of its work into annuities sales practices and retirement income market

      Press Releases Published: 11/12/2014 Last modified: 11/12/2014
      We want to see firms improving the way they communicate with their customers. ... and where some firms are failing to tell customers other providers may offer enhanced annuities for medical conditions that they do not underwrite.

1323. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

      Press Releases Published: 14/04/2015 Last modified: 30/09/2016
      to 50,900 upheld complaints may have resulted in inadequate redress for customers. ... Customers do not need to take any action – Clydesdale will be contacting all affected customers in due course.

1324. Financial services regulation and enforcement: recent developments and emerging issues

      Speeches Published: 09/10/2013 Last modified: 10/10/2013
      Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version.

1325. Consumer investments data review April - September 2021

      Data Published: 03/03/2022 Last modified: 13/06/2023
      A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021.

1326. Insurance firms failing to consider value of the products and services provided to consumers

      Press Releases Published: 10/04/2019 Last modified: 10/04/2019
      The Financial Conduct Authority (FCA) is warning General Insurance (GI) firms about manufacturing, sales and distribution approaches that can lead to customers purchasing inappropriate products, paying excessive prices or receiving poor service.

1327. DP15/7: Our approach to SMEs as users of financial services

      Discussion papers Published: 27/11/2015 Last modified: 25/08/2016
      These have prompted questions from various sources, including the Treasury Select Committee (TSC) and the Parliamentary Commission on Banking Standards (PCBS), about whether more small business customers should be able to ... So they have often been seen

1328. Advice firms demonstrate some good practice on due diligence but greater consistency needed

      Press Releases Published: 19/02/2016 Last modified: 19/02/2016
      Firms’ staff need to feel able to question the firm’s approach and there should be processes in place to allow for this. ... Firms also need to ensure they are adequately managing conflicts between their clients’ and their own interests.

1329. PS13/3 Restrictions on the retail distribution of unregulated collective investment schemes and close substitutes

      Policy statements Published: 04/06/2013 Last modified: 30/08/2015
      We are setting out our rules on unregulated collective investment schemes and close substitutes in relation to ordinary retail investors in the UK.

1330. Coronavirus and safeguarding customers’ funds: proposed guidance for payment firms

      Policy and guidance Guidance consultations Published: 22/05/2020 Last modified: 05/06/2020
      Short consultation proposing additional temporary guidance to strengthen payment firms’ prudential risk management and arrangements for safeguarding customers’ funds in light of the exceptional circumstances of the coronavirus pandemic