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Showing 1141 to 1150 of 2511 search results for pensions advice.

  1. Regulation as a spur to growth

    Speeches Published: 05/06/2013 Last modified: 01/07/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, to the Investment Management Association (IMA) at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version.

  2. Complaints data 2015 H2 summary info [pdf]

    Data Published: 23/03/2016 Last modified: 30/03/2016
    Latest statistics summary for complaints data for 2015 H2.

  3. AXA fined and reviews investment sales for advice failings

    Press Releases Published: 13/09/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined AXA Wealth Services Ltd (AXA) £1,802,200 for failing to ensure it gave suitable investment advice to its customers.

  4. Decision Notice 2024: Demetrios Christos Hadjigeorgiou [pdf]

    Decision notices Published: 24/06/2024
    This Decision Notice (Demetrios Christos Hadjigeorgiou) refers to breaches of PRIN 1 and PRIN 6 related to failing to act with integrity and to failing to exercise due care, skill and diligence in the pensions sector. Our view is that a financial

  5. Instructions for Retirement Income Advice Assessment Tool (RIAAT) [pdf]

    Documents Published: 20/03/2024
    Retirement Income Advice Assessment Tool instructions.

  6. Apply to be a registered AIFM

    Focus areas Published: 06/06/2016 Last modified: 05/07/2023
    Learn how to apply to us to be a small registered Alternative Investment Fund Manager (AIFM), including SEF and RVECA managers.

  7. Initial advice charges for lump sum investments

    Firms Published: 15/12/2016 Last modified: 15/12/2016
    Read more about the payment of initial advice charges for advice on lump sum investments to retail clients.

  8. Statement on RBS GRG report publication

    Statements Published: 08/12/2017 Last modified: 08/12/2017
    That included advice from external Counsel. It is usual practice for material risks identified in the FCA’s Governance Committees to be reflected in Board papers and discussed at Board meetings

  9. Whistleblowing quarterly data 2022 Q2

    Data Published: 07/10/2022 Last modified: 07/10/2022
    Our data shows the number of new whistleblowing reports the FCA received in April to June 2022 and the allegations they featured.

  10. Whistleblowing quarterly data 2023 Q2

    Data Published: 13/10/2023 Last modified: 13/10/2023
    The data shows the number of new whistleblowing reports the FCA received in April and June 2023 and the allegations they featured.