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Showing 1051 to 1060 of 2644 search results for vulnerable customers.

1051. Financial Crime: analysis of firms’ 2017-2020 REP-CRIM data

      Data Published: 07/10/2021 Last modified: 07/10/2021
      The FCA provides analysis of the annual financial crime data return (REP-CRIM) submissions for the 3 reporting periods between 2017-2020.

1052. Call for Input: The Consumer Investments Market [pdf]

      Calls for input Published: 15/09/2020
      This Call for Input (CFI) looks at areas where the consumer investment market is not working well for customers and seeks views on what changes we can make to improve protections and outcomes in this market.

1053. FSA report: Banks’ management of high money-laundering risk situations [pdf]

      Corporate documents Published: 15/06/2011 Last modified: 12/09/2014
      How banks deal with high-risk customers (including politically exposed persons), correspondent banking relationships and wire transfers

1054. Transforming culture in financial services

      Speeches Published: 19/03/2018 Last modified: 19/03/2018
      Speech by Andrew Bailey, Chief Executive of the FCA, at the Transforming culture in financial services conference.

1055. Independence, confidence and fairness

      Speeches Published: 04/02/2016 Last modified: 04/02/2016
      Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at Bloomberg, in the City of London, on 4 February 2016, London. This is the text of the speech as drafted, which may differ from the delivered version.

1056. FCA Decision Notice 2013: Andrew Peter Wilkins [pdf]

      Decision notices Published: 04/10/2013 Last modified: 04/06/2015
      This decision notice refers to breaches of PRIN 6 related to financial promotions and unfair treatment of customers in the investment advisers and platforms sector. We imposed a fine and partial prohibition.

1057. Home finance customers with a payment shortfall: PS16/25

      Policy statements Published: 14/12/2016 Last modified: 14/12/2016
      We are publishing our final rules for firms when dealing with customers experiencing a payment shortfall, following our consultation in CP16/16.

1058. FCA Final Notice 2014: HomeServe Membership Limited [pdf]

      Final notices Published: 13/02/2014 Last modified: 07/04/2015
      This final notice refers to breaches of PRIN 3, PRIN 6 and PRIN 7 related to mis-selling, complaints-handling, unfair treatment of customers, and remuneration in the general insurance and protection sector. We imposed a fine.

1059. Where next for UK Market Structure

      Speeches Published: 03/03/2022 Last modified: 03/03/2022
      Speech by Edwin Schooling Latter, FCA Director of Markets and Wholesale Policy and Wholesale Supervision, delivered at Rosenblatt's European Market Structure conference.

1060. The view from the regulator on Operational Resilience

      Speeches Published: 05/12/2019 Last modified: 05/12/2019
      Speech by Megan Butler, FCA Executive Director of Supervision: Investment, Wholesale and Specialist, delivered on 5 December 2019 at 13.30