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Showing 201 to 210 of 751 search results for treatment of vulnerable customers.
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Final Notice 2018: Mark Robert Kennedy [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition. -
FG17/6: The treatment of politically exposed persons for anti-money laundering purposes [pdf]
We are publishing finalised guidance for how financial services firms should treat customers who are politically exposed persons when meeting their anti-money laundering obligations. -
2024 fines
Enforcement fines published in 2024. -
Final Notice 2018: David James Carter Mullins [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety and unfair treatment of customers in the consumer credit sector. We imposed a prohibition. -
GC17/2: Treatment of politically exposed persons (PEPs) under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 [pdf]
We are consulting on new guidance for how financial services firms should treat customers who are politically exposed persons when meeting their anti-money laundering obligations. -
Final Notice 2015: Sam Thomas Kenny [pdf]
This final notice refers to breaches of APER 1 and APER 7 related to unfair treatment of customers, mis-selling, lack of fitness/propriety in the investment adviser sector. We imposed a fine and a prohibition. -
FCA Final Notice 2014: Santander UK plc [pdf]
This final notice refers to breaches of PRIN 7, PRIN 9 and COBS related to unfair treatment of customers in the wealth management and private banking, investment advisers and platforms sector. We imposed a fine. -
Consumer Duty – information for firms
To help firms implement the Duty, we explain more on the areas of the Duty that we have been receiving firm queries on which are relevant for the wider market. -
Final notice 2016: CT Capital Limited [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 6 related to complaints-handling and the unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
PPI complaints
Payment Protection Insurance (PPI) was often mis-sold to customers. Find out more about the deadline for PPI complaints, and how to protect yourself from scams.