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Showing 1651 to 1660 of 2511 search results for pensions advice.

  1. FSA Q4 12/13 Number of skilled person reports commissioned [pdf]

    Data Published: 02/05/2013 Last modified: 04/08/2016
    Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis.

  2. FCA Data Bulletin issue 5 - underlying data [xlsx]

    Data Published: 03/02/2016 Last modified: 03/02/2016
    Underlying data for retirement income market data, consumer credit authorisation data, complaints against the FCA, financial promotions, how we use attestations, and skilled person reports.

  3. FCA Data Bulletin issue 10 - underlying data [xlsx]

    Data Published: 08/09/2017
    Underlying data for retirement income data collection and firm feedback questionnaire.

  4. TR14/21: Retail investment advice: Adviser charging and services

    Thematic reviews Published: 16/12/2014 Last modified: 31/08/2016
    TR14/21: Retail investment advice: Adviser charging and services. Thematic reviews First published:. ... Our consumer research highlighted the importance many consumers place on the ongoing service element of financial advice.

  5. FCA Data Bulletin - May 2015 - underlying data [xlsx]

    Data Published: 19/05/2015 Last modified: 19/05/2015
    Underlying data for the FCA Contact Centre, complaints about firms, approved persons, attestations, skilled persons reports, and financial promotions.

  6. Aggregate complaints data to 2017 H1 [xlsx]

    Data Published: 23/10/2017
    Aggregate sector wide firm complaints data for 2017 H1. Including opened, closed, upheld, speed of closure and redress.

  7. Building firm foundations for healthy cultures

    Speeches Published: 20/11/2023 Last modified: 20/11/2023
    Speech by Sheree Howard, Executive Director of Risk and Compliance Oversight at the XLOD Global London conference.

  8. Mortgage Intermediaries portfolio letter [pdf]

    Correspondence Published: 29/10/2020 Last modified: 29/10/2020
    Our Mortgage Intermediaries supervision strategy covers the period to December 2021 and includes a programme of work to mitigate the harms we have identified, including second charge and lifetime mortgage advice.

  9. Aggregate complaints data 2016 H2 [xlsx]

    Data Published: 26/04/2017
    Aggregate sector wide firm complaints data for 2016 H2. Including opened, closed, upheld, speed of closure and redress.

  10. FCA confirms final rules for independent governance committees

    Press Releases Published: 04/02/2015 Last modified: 04/02/2015
    IGCs are a key part of the improvements in the governance of workplace pensions. ... scheme. New regulations have been introduced today by the DWP to ensure value for money in relevant occupational pension schemes.