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Showing 531 to 540 of 576 search results for obligations under the Consumer Duty.
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Market abuse requires a dynamic response to a changing risk profile
This is a significant risk. Firms should also consider client confidentiality, the duties under COBs and our Principles for firms to consider the best interests of their clients. ... accordance with regulatory obligations, such as delivering best -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
IEL agreed to settle at an early stage of the investigation and therefore qualified for a 30% discount under the FCA's settlement discount scheme. ... Benchmark reference rates such as LIBOR also affect payments made under a wide range of other contracts -
Financial watchdog consults about protections for insurance customers in financial difficulty
The FCA is proposing to update guidance, introduced during the Covid-19 pandemic, to support insurance customers in financial difficulty. -
AIM Investment Company fined for failing to disclose inside information as soon as possible
The Financial Conduct Authority (FCA) has today fined Tejoori Limited (Tejoori) £70,000 for failing to inform the market of inside information as required by Article 17(1) of the Market Abuse Regulation (MAR). This is the first fine the FCA has -
Beyond regulation: thinking creatively about consumer credit
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Responsible Finance Conference, Glasgow. -
PS21/2: Amendments to single and cumulative transaction thresholds for contactless payments
This PS summarises the responses we received on our proposed changes relating to the contactless card payments limits at Q5 and Q6 in CP21/3. -
Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit
Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential -
FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business
The Financial Conduct Authority (FCA) has banned Andrew Barry Hart, the sole director, controller and ultimate owner of Wage Payment and Payday Loans Limited (WPPL), from performing any role in regulated financial services. The FCA has also -
Coronavirus and safeguarding customers’ funds: proposed guidance for payment firms
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 -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015.