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Showing 1731 to 1740 of 1909 search results for under the Consumer Duty.
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CP15/39: Rules and guidance on payment protection insurance complaints
PPI research technical report [PDF]. This consultation affects:. consumers who were - or may have been - sold PPI. ... claims management companies, other paid advocates, and consumer organisations who take forward complaints about PPI on behalf of -
The FCA and PRA propose measures to boost diversity and inclusion in financial services
In consultation papers published today, the financial regulators have set out proposals to boost diversity and inclusion to support healthy work cultures, reduce groupthink, and unlock talent. -
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. -
FCA publishes rules on how it will apply the new accountability regime to UK branches of overseas banks and Solvency II firms
For European Economic Area branches, the proposals also reflect the split of home and host state supervisory responsibilities under the relevant single market directives. ... On 1 April 2014, the FCA took over responsibility for consumer credit regulation -
FCA reminds asset managers of importance of meeting investors’ expectations
It is also vital that funds keep investment practices under review so they match their stated aims and strategy, irrespective of whether the fund is still actively marketed, because investors base ... The FCA was concerned that this was not happening -
Financial watchdog puts banks on alert in fight against money laundering via the Post Office
A series of measures designed to reduce the risk of money laundering via the Post Office have today been set out by the FCA. -
CP14/22: Guidance on the FCA’s registration function under the Co-operative and Community Benefit Societies Act 2014
CP14/22: Guidance on the FCA’s registration function under the Co-operative and Community Benefit Societies Act 2014. ... societies registered or planning to register under the Act. it will be of interest to consumers who may be invited to acquire -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
PS19/9: Applying the Senior Managers and Certification Regime to Claims Management Companies
This Policy Statement outlines how we will apply our Senior Managers and Certification Regime (SM&CR) to claims management companies (CMCs) and their staff. The regime aims to strengthen individual accountability in the firms we regulate and raise -
FSA secures High Court victory against illegal land banking firm, Asset Land
The Financial Services Authority (FSA) has won a key victory in the battle against unauthorised businesses after the High Court declared that David Banner-Eve, Stuart Cohen, Asset Land Investments Plc and Asset L.I. Inc. ran an illegal land bank by