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Advice firms demonstrate some good practice on due diligence but greater consistency needed
Linda Woodall, director of life insurance and financial advice at the FCA, said:. -
Milestone for insurers as they come under the Senior Managers and Certification Regime
The Senior Managers and Certification Regime (SM&CR) has been extended to all insurers regulated by the Financial Conduct Authority (FCA) and Prudential Regulation Authority from today. -
Underlying data for Montly PPI complaints before and during campaign - May 2021
The FCA provides the data for the numbers of PPI complaints from Jan 2017 to Aug 2019. -
FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies
The Financial Services Authority (FSA) has published the results of a mystery shopping review, carried out between March and September 2012, looking into the quality of investment advice given by banks and building societies. -
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. -
Lloyds Banking Group fined £4.3 million for delayed PPI redress payments
The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress. -
Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly
their customers fairly when handling Payment Protection Insurance (PPI) complaints between March 2012 and May 2013. -
FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry. -
TenetConnect Limited (TCL) and TenetConnect Services Limited (TCSL) enter administration
TCL and TCSL oversaw networks of financial advisers, who operated as appointed representatives. -
FCA publishes its Business Plan for 2015/16 and announces details of new supervision and authorisation divisions
to monitor developments in technology and how that affects firms and consumers, including a market study on the use of Big Data in the insurance market.