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Showing 1341 to 1350 of 1522 search results for needs of their vulnerable customers.
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Exploring Synthetic Data Validation – privacy, utility and fidelity
This paper explores the insights from a roundtable event hosted by the FCA, the Information Commissioner’s Office, and the Alan Turing Institute. -
PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies
This Policy Statement outlines how we will apply our Senior Managers and Certification Regime (SM&CR) to claims management companies (CMCs) and their staff. The regime aims to strengthen individual accountability in the firms we regulate and raise -
A regulatory perspective: the drivers of culture and the role of purpose and governance
Marc Teasdale speaks on regulatory perspective, the driver of cultures and the role of purpose and governance. -
Two financial advisers banned and fined after investors lose out
Bentley-Leek and Dervish fell far short of our expectations, they failed their customers and further tarnished the name of the financial services industry. ... Bentley-Leek and Dervish have been fined £525,000 and £360,000 respectively, substantial -
City Financial Investment Company Limited enters administration
On 21 March 2019, City Financial Investment Company Limited (City Financial), a firm authorised and regulated by the FCA, appointed Jason Baker and Geoffrey Rowley of FRP Advisory LLP (FRP) as joint administrators. We explain what this means if you -
FCA warns businesses to stop misleading credit adverts to protect consumers
The FCA is warning lenders and brokers to stop using misleading terms in their advertising or face regulatory action. -
FCA publishes decision notice against Alistair Burns deciding to ban him and fine him
The Financial Conduct Authority has today published a Decision Notice in respect of Alistair Burns, Chief Executive at TailorMade Independent Limited (TMI). -
FCA fines Pembrokeshire Mortgage Centre Ltd £2.4m for serious failings in relation to the British Steel Pension Scheme
The FCA has fined Pembrokeshire Mortgage Centre Limited (PMC) (trading as County Financial Consultants) (in liquidation) £2,354,331 for giving consumers unsuitable advice to transfer out of the British Steel Pension Scheme and other defined benefit -
FCA reveals urban-rural differences in how consumers experience financial services
The Financial Conduct Authority (FCA) has today published the latest analysis from its Financial Lives survey. Today’s report puts the spotlight on the financial situation of people across the UK and highlights where in the UK people may be more -
A reminder to FCA-regulated firms and issuers after developments in Ukraine
Developments in Ukraine have highlighted the continuing need for robust systems and controls when dealing with actual or potential politically exposed persons. ... Firms should be aware of the possible impact these events may have on patterns of