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Showing 1821 to 1830 of 1909 search results for under the Consumer Duty.
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Berkeley Burke SIPP Administration Limited in administration but SIPP business is transferred to Hartley
On 18 September 2019 the directors of Berkeley Burke SIPP Administration Limited ('BBSAL'), a firm authorised and regulated by the FCA, appointed Adrian Allen and Diana Frangou of RSM Restructuring Advisory LLP as Joint Administrators -
How to report Appointed Representatives data – information for principal firms
Read about the data principal firms must report to the FCA about their appointed representatives (ARs). -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs). -
FCA confirms permanent restrictions on the sale of CFDs and CFD-like options to retail consumers
Following consultation feedback, the Financial Conduct Authority (FCA) is confirming new rules restricting the sale, marketing and distribution of CFDs and CFD-like options to retail customers. -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
IBOR is used to determine payments made under both over the counter (OTC) interest rate derivatives contracts and exchange traded interest rate contracts by a wide range of counterparties including small ... Benchmark reference rates such as LIBOR also -
PS15/28: Capital resources requirements for personal investment firms (PIFs): feedback on CP15/17 and final rules
Policy Statement on the main issues arising from CP15/17: Capital resources requirements for personal investment firms (PIFs) and publish the final rules. -
We force a further three firms to reverse effects of misleading British Steel Pension Scheme offers
We have imposed requirements on a further 3 firms which were seeking to avoid their liabilities under the British Steel Pension Scheme (BSPS) redress scheme. -
FCA review finds weaknesses in some ‘host’ Authorised Fund Management firms’ governance and operations
The Financial Conduct Authority (FCA) has called for so-called ‘host’ Authorised Fund Managers (AFMs) to improve their standards following a review of firms published today. -
The FCA’s approach to supervising wealth management and private banking firms
Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA fines Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling
The FCA has fined Lloyds Bank, Bank of Scotland and The Mortgage Business £64,046,800 for failures in mortgage arrears handling. The banks estimate they will have paid £300 million in customer redress. The redress programme is nearly complete.