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Showing 1071 to 1080 of 2644 search results for vulnerable customers.
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Final Notice 2017: Clive John Rosier [pdf]
This final notice (Clive Rosier) refers to breaches of APER 2 and APER 7 for complaints-handling, failure to demonstrate that suitable advice was given and lack of fitness/propriety in the investment adviser sector. We imposed a fine, withdrawal and -
FCA and Industry Working Group on interest-only mortgages
We are working with mortgage lenders and administrators to continue its work in the interest-only mortgage market. -
Verex Insurance Services Limited enters administration
On 18 August 2023 Verex Insurance Services Limited entered administration. Gary Pettit of PBC Business Recovery and Insolvency Ltd was appointed as administrator. -
Statement on RBS’s Global Restructuring Group
treatment of small and medium-sized enterprise customers transferred to its Global Restructuring Group. -
Putting the customer at the centre of the business: is it a long road ahead for the FCA?
Speech by Christopher Woolard, Director of Strategy & Competition, FCA, delivered at the RiskMinds conference Conduct Forum in Brussels. This is the text of the speech as drafted, which may differ from the delivered version. -
Final notice 2015: Simon Mark Silva-Peake [pdf]
This final notice refers to breaches of FIT related to a lack of fitness/propriety, client money/assets and unfair treatment of customers in the investment adviser sector. We imposed a prohibition. -
Turning technology against criminals
Speech by Megan Butler, Executive Director of Supervision - Investment, Wholesale and Specialists at the FCA, delivered at the Anti-Money Laundering TechSprint, London -
Gefion Insurance A/S declared bankrupt
Gefion Insurance A/S (Gefion) is an insurance firm authorised and regulated by the Danish Financial Supervisory Authority (DFSA). -
2017 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. -
Multilateral trading facilities and organised trading facilities
Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application.