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Showing 501 to 510 of 576 search results for obligations under the Consumer Duty.
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FCA bans and fines two individuals for pension advice failings
Lloyd Pope and Peter Legerton, former directors of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), have been banned from senior positions in financial services by the Financial Conduct Authority (FCA). -
Asset management: common errors when applying for authorisation
Avoid delays and increase your chances of being authorised to work in the UK asset management sector. -
Insights from the Cyber Coordination Groups
Insights from the Cyber Coordination Groups -
JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades
FCA’s Principles for Businesses - the fundamental obligations firms have under the regulatory system. ... JPMorgan therefore qualified for a 30% discount under the FCA’s settlement discount scheme. -
Our approach to ensuring firms treat vulnerable customers fairly
Speech given by Nisha Arora, Director, Consumer and Retail Policy at the TISA Vulnerability Conference. -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy. -
FCA sets out next steps to improve competition in the UK’s asset management industry
The FCA has published the latest step in its response to the concerns identified through its asset management market study. This is part of a package of remedies to ensure fund managers compete on the value they deliver, and act in the interests of -
PS16/18: Changes to the Decision Procedure and Penalties manual and the Enforcement Guide for the implementation of the Market Abuse Regulation
This CP noted that the Treasury was preparing a Statutory Instrument (SI) to modify domestic law to meet the UK's obligation to implement EU MAR. ... It will also be of interest to consumers who directly or indirectly deal and invest in any of the FIs -
Review of terminal illness benefits within life insurance protection products
FCA review of insurance companies’ approaches to terminal illness benefits to make recommendations for improvement. -
High-cost short-term credit and coronavirus: temporary guidance for firms
This guidance applies to regulated firms that enter into high-cost short-term credit (HCSTC) loans, including payday loans. In addition, this guidance applies to firms that have acquired such loans. It applies to both current loans and loans entered