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Showing 1151 to 1160 of 2511 search results for pensions advice.

  1. 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

  2. Consumer credit – Treating customers fairly

    Consumer credit firms Published: 23/04/2019 Last modified: 16/02/2023
    We set out why treating customers fairly should be at the heart of your business.

  3. Financial Sanctions

    Firms Consumers Markets Published: 16/05/2016 Last modified: 21/02/2023
    Find out what to do if your firm is subject to financial sanctions or you suspect there has been a sanctions breach.

  4. Whistleblowing quarterly data 2023 Q1

    Data Published: 30/06/2023 Last modified: 30/06/2023
    The data shows the number of new whistleblowing reports the FCA received in January to March 2023 and the allegations they featured.

  5. Transactional Cost Disclosure in Workplace Pensions [pdf]

    Impact assessments Published: 04/07/2018

  6. Cancel or dissolve your society

    Mutual societies Published: 11/05/2015 Last modified: 24/02/2023
    How to cancel or dissolve a society.

  7. Investment advice and platforms suitability and disclosure assessment template [pdf]

    Archive Published: 26/03/2010 Last modified: 03/08/2016
    To help firms, we have published a suitability and disclosure assessment template and accompanying notes they can use to evaluate whether the advice given to clients to invest using a platform is suitable.

  8. Case concerning CEO referred to the Upper Tribunal

    Press Releases Published: 11/12/2015 Last modified: 11/12/2015
    advisers who had approval to perform the CF30 (Customer) function (CF30s) would give suitable advice to approximately 40,000 customers. ... Ms Grigg’s conduct put approximately 26,750 customers at risk of poor outcomes, including the risk of receiving

  9. Information on Whistleblowing - November 2022

    Firms Firm and market data Published: 28/11/2022 Last modified: 09/01/2024
    FCA provides information on Whistleblowing.

  10. Suspicious transaction and order reports (STOR) figures 2016 [pdf]

    Data Published: 20/02/2017
    Number of Suspicious Transaction Reports (STRs) Received under the Market Abuse Directive (Directive 2003/6/EC) by the FCA for 3 July to 31 December 2016.