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Showing 2341 to 2350 of 2441 search results for risk identification.

  1. Alsford Page & Gems Limited censured and agrees to pay extended warranty insurance customers £399,902

    Press Releases Published: 20/04/2021 Last modified: 20/04/2021
    We have publicly censured Alsford Page & Gems Limited and they will pay compensation totalling £399,902.

  2. FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading

    Press Releases Published: 15/07/2022 Last modified: 15/07/2022
    The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case

  3. FCA bans former Co-operative Bank Chair, Paul Flowers, from the financial services industry

    Press Releases Published: 06/03/2018 Last modified: 06/03/2018
    The Financial Conduct Authority (FCA) has banned the former Chair of Co-operative Bank PLC (Co-op Bank), Paul Flowers, from the financial services industry.

  4. FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings

    Press Releases Published: 11/12/2013 Last modified: 25/11/2021
    The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes.

  5. FG15/4 - Social media and customer communications: The FCA’s supervisory approach to financial promotions in social media

    Finalised guidance Published: 13/03/2015 Last modified: 26/03/2024
    In August 2014, we consulted on our approach to the supervision of financial promotions in social media.

  6. How to report Appointed Representatives data – information for principal firms

    Firm authorisation Published: 11/07/2023 Last modified: 26/10/2023
    Read about the data principal firms must report to the FCA about their appointed representatives (ARs).

  7. FCA bans and fines Robert Shaw, of TailorMade Independent Ltd, for SIPP advisory failings

    Press Releases Published: 13/08/2015 Last modified: 24/03/2020
    Robert Shaw, former director of advisory firm TailorMade Independent Ltd (TMI) (firm now dissolved), has been banned from senior positions in financial services and fined £41,400 by the Financial Conduct Authority (FCA).

  8. FCA sets out potential remedies to tackle concerns about general insurance pricing

    Press Releases Published: 04/10/2019 Last modified: 04/10/2019
    The FCA has today published the interim report of its market study into the pricing of home and motor insurance.

  9. Statement on the Financial Conduct Authority’s review of Royal Bank of Scotland’s treatment of customers referred to its Global Restructuring Group

    Press Releases Published: 08/11/2016 Last modified: 08/11/2016
    This statement provides an update on the Financial Conduct Authority’s (FCA) review of Royal Bank of Scotland’s (RBS) treatment of small and medium enterprise (SME) customers in financial difficulty.

  10. PS14/7: Changes to the use of dealing commission rules: feedback to CP13/17 and final rules

    Policy statements Published: 08/05/2014 Last modified: 23/11/2021
    In this Policy Statement we report on the main issues arising from Consultation Paper 13/17 – Consultation on the use of dealing commission rules, and publish the final rules.
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