Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1361 to 1370 of 1522 search results for needs of their vulnerable customers.

  1. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

    Press Releases Published: 13/08/2015 Last modified: 24/03/2020
    Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

  2. Retail Distribution Review six months in – how firms are implementing the RDR

    Press Releases Published: 25/07/2013 Last modified: 09/02/2017
    The Financial Conduct Authority (FCA) has published an early review of how advisory firms have implemented some of the core aspects of the Retail Distribution Review (RDR) months after its implementation.

  3. PS14/7: Changes to the use of dealing commission rules: feedback to CP13/17 and final rules

    Policy statements Published: 08/05/2014 Last modified: 23/11/2021
    In this Policy Statement we report on the main issues arising from Consultation Paper 13/17 – Consultation on the use of dealing commission rules, and publish the final rules.

  4. FG18/3 - Changing customers to post-RDR unit classes (formerly known as FG14/4)

    Finalised guidance Published: 06/05/2014 Last modified: 05/04/2018
    This guidance sets out our expectations of firms which are involved in the transfer of investors from pre-RDR unit classes to post-RDR unit classes, or in any other case where a cheaper but otherwise identical class of the same fund is available to

  5. FCA publishes new data on savings interest rates and announces new rules coming into effect

    Press Releases Published: 01/12/2016 Last modified: 01/12/2016
    The Financial Conduct Authority (FCA) has today published the third and final ‘sunlight remedy’ data set, showing the lowest interest rates available from 32 providers of cash savings accounts and easy access cash ISAs. This is part of the

  6. FCA takes action against unregistered crypto ATM operators in Leeds

    Press Releases Published: 14/02/2023 Last modified: 14/02/2023
    The Financial Conduct Authority (FCA) has used its powers to enter and inspect several sites around Leeds suspected of hosting illegally operated crypto ATMs.

  7. CP18/29: Temporary permissions regime for inbound firms and funds

    Consultation papers Published: 10/10/2018 Last modified: 01/03/2019
    The temporary permissions regime will allow EEA firms and funds to continue regulated business in the UK, if the UK leaves the EU in March 2019 without an implementation period in place. This consultation paper sets out how we expect the regime to

  8. PS19/6: Rent-to-own price cap – feedback on CP18/35 and final rules

    Policy statements Published: 05/03/2019 Last modified: 05/03/2019
    This paper sets out final rules on a price cap in the rent-to-own market and summarises feedback to CP18/35.

  9. FCA review into mobile phone insurance finds examples of poor product design, unclear terms, and inadequate claims and complaints handling

    Press Releases Published: 27/06/2013 Last modified: 27/06/2013
    The Financial Conduct Authority (FCA) has published a review focusing on the way mobile phone insurance firms design products and handle claims from customers that have lost or damaged their phone, or had it stolen.

  10. FCA fines Standard Chartered Bank £102.2 million for poor AML controls

    Press Releases Published: 09/04/2019 Last modified: 09/04/2019
    The Financial Conduct Authority (FCA) has fined Standard Chartered Bank (Standard Chartered) £102,163,200 for Anti-Money Laundering (AML) breaches in two higher risk areas of its business. This is the second largest financial penalty for AML
Related searches
Related topics