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Showing 1691 to 1700 of 1909 search results for under the Consumer Duty.

  1. CP15/17: Capital resources requirements for Personal Investment Firms (PIFs)

    Consultation papers Published: 28/05/2015 Last modified: 22/02/2018
    consumers and consumer organisations. professional and trade bodies representing PIFs and other types of financial advisers. ... To get an idea of what your capital resources requirement would be under these proposals, try our online calculator.

  2. FCA bans and fines former Burlington director for dishonest involvement in the sale of Unregulated Collective Investment Schemes to retail customers

    Press Releases Published: 29/08/2014 Last modified: 29/08/2014
    Over 800 consumers invested around £30 million in the three UCIS, which subsequently failed. ... Cameron made Burlington and staff under his direction instrumental in every stage of promoting and arranging investments in the UCIS.

  3. JPMorgan Chase Bank N.A. fined £137,610,000 for serious failings relating to its Chief Investment Office’s “London Whale” trades

    Press Releases Published: 19/09/2013 Last modified: 19/09/2013
    FCA’s Principles for Businesses - the fundamental obligations firms have under the regulatory system. ... JPMorgan therefore qualified for a 30% discount under the FCA’s settlement discount scheme.

  4. PS13/8 Consumer credit: carrying across some secondary legislation

    Policy statements Published: 30/08/2013 Last modified: 30/08/2013
    The Financial Conduct Authority (FCA) will take over the regulation of consumer credit from the Office of Fair Trading (OFT) on 1 April 2014.

  5. FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches

    Press Releases Published: 26/11/2013 Last modified: 29/11/2016
    Under the FCA’s client money rules, firms are required to keep client money separate from the firm's money in client bank accounts with trust status. ... The proposals include measures to facilitate faster and greater return of client assets, reducing

  6. Raedex Consortium Limited and Buy 2 Let Cars Ltd enter administration

    News stories Published: 16/03/2021 Last modified: 10/11/2021
    On 19 February 2021 the FCA imposed a number of restrictions on Raedex Consortium Ltd stopping it from carrying on any regulated activities due to concerns about the way it conducts its business.

  7. CP22/25: Proposed regulatory framework for pensions dashboard service firms

    Consultation papers Published: 01/12/2022 Last modified: 01/12/2022
    Give your comments on our proposed regulatory framework for the new pensions dashboard service market.

  8. FCA review finds room for improvement when dealing with customers in early arrears

    Press Releases Published: 13/12/2016 Last modified: 13/12/2016
    The Financial Conduct Authority (FCA) has found that many firms are improving the way they deal with customers in early arrears. However, there are a number of areas where consumer credit firms still need to improve their practices.

  9. Martin Wheatley calls for greater transparency in the asset management sector at the 2013 FCA Asset Management Conference

    Press Releases Published: 30/10/2013 Last modified: 30/10/2013
    The asset management sector includes 2,100 authorised firms, employs more than 29,000 people across the UK, and holds £5.2 trillion assets under management. ... To support this it has three operational objectives: to secure an appropriate degree of

  10. Mark Starling sentenced to 5 years’ imprisonment in FCA prosecution of £3m investment fraud

    Press Releases Published: 29/11/2018 Last modified: 30/11/2018
    Mark Barry Starling, aged 57 of Farnham, Surrey, was today sentenced at Southwark Crown Court to 5 years’ imprisonment for defrauding investors of just under £3 million in relation to unauthorised investment schemes he operated between 2008 and
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