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Showing 1461 to 1470 of 1519 search results for new complaints data published today.

  1. We welcome the consultation on a new Code of Conduct for Environmental, Social and Governance data and ratings providers

    News stories Published: 05/07/2023 Last modified: 05/07/2023
    As firms grow increasingly reliant on third party ESG data and ratings products, the FCA wants to increase transparency and trust in this growing market.

  2. Guinness Mahon Trust Corporation Limited in administration and SIPP business immediately sold to Hartley Pensions

    News stories Published: 18/02/2020 Last modified: 21/02/2020
    On 17 February 2020, and following complaints in relation to historic high-risk non-standard investments, the directors of Guinness Mahon Trust Corporation Limited (GMTC), a firm authorised and regulated by the FCA, appointed Adam Stephens and Nick

  3. FCA: New strategic approach to ensure “sharper focus” to regulatory challenges ahead

    Press Releases Published: 08/12/2014 Last modified: 08/12/2014
    Several structural changes to how the organisation works will complement this new approach. ... A new Strategy and Competition Division led by Christopher Woolard will build on our competition capabilities, bringing together more of our market-based work

  4. From Zeroes to Heroes: How culture in financial services can change for everyone’s benefit

    Speeches Published: 29/11/2022 Last modified: 08/01/2024
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Culture and Conduct Forum for the Financial Services Industry.

  5. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

    Press Releases Published: 01/02/2016 Last modified: 01/02/2016
    The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

  6. Update to information on investments made through Harlequin Management Services (South East) Limited (“Harlequin Property”)

    News stories Published: 17/06/2013 Last modified: 25/11/2021
    The Financial Services Authority (FSA) issued an alert to financial advisers on 18 January 2013 regarding this subject.

  7. FCA statement on selling high-risk speculative investments to retail clients following ESMA’s action on CFD products

    Statements Published: 01/08/2018 Last modified: 01/08/2018
    Statements First published:. 01/08/2018. Last updated: 01/08/2018. Share page. ... These measures apply across the EU from today. We fully support ESMA’s measures, which are designed to protect retail investors.

  8. FCA to carry out market study into cash savings - study is part of programme to look at competition across financial services markets

    Press Releases Published: 09/09/2013 Last modified: 09/09/2013
    The Financial Conduct Authority (FCA) today announced plans to carry out a market study into the £1 trillion UK cash savings market. ... The FCA also confirmed Deb Jones and Mary Starks in the role of the new Director of Competition.

  9. FCA stops Alexander David Securities Limited disposing of assets without permission

    Statements Published: 29/04/2022 Last modified: 29/04/2022
    The FCA has imposed requirements on corporate advisory firm, Alexander David Securities Limited (ADSL), which means it must not dispose of any assets without the written consent of the FCA. Since 29 June 2020, ADSL has not been permitted to

  10. FCA secures confiscation orders totalling £1.69 million against convicted insider dealers

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    These confiscation orders follow an FCA prosecution in which Messrs Dodgson and Hind were convicted of conspiring to insider deal.
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