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Showing 561 to 570 of 576 search results for obligations under the Consumer Duty.
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A changing landscape: the FCA’s strategic priorities for the pensions sector
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at Pensions and Benefits UK 2019. -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London -
Consumer warning on Unique Funeral Plans and Empathy Funeral Plans
Existing customers of these firms should contact their provider. -
FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings
The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls. -
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. -
FCA fines Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling
The FCA has fined Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling. The banks estimate they will have paid £300 million in customer redress. The redress programme is nearly complete. -
Berkeley Burke SIPP Administration Limited in administration but SIPP business is transferred to Hartley
On 18 September 2019 the directors of Berkeley Burke SIPP Administration Limited ('BBSAL'), a firm authorised and regulated by the FCA, appointed Adrian Allen and Diana Frangou of RSM Restructuring Advisory LLP as Joint Administrators -
Implementing MiFID II – multi-firm review of research unbundling reforms
Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how -
FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules
This failing meant that the Firms were unable to meet their other obligations under the Custody Rules, such as the requirements to:. ... To support this it has three operational objectives: to secure an appropriate degree of protection for consumers; to -
Fairness, flexibility and the long-term view: the FCA’s vision for the mortgage market
Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the UK Finance Annual Mortgage Conference, London.