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Showing 1081 to 1090 of 2644 search results for vulnerable customers.

1081. Fair and effective markets review

      Speeches Published: 14/07/2015 Last modified: 23/10/2015
      Firms hiring new compliance staff, establishing cultural change programmes, developing better staff training and listening to customers more. ... customers. Elizabeth Corley from Allianz Global Investors is going to be the Interim Chair of the group, and

1082. Client agreements for transferring investment business

      Tasks for regulated firms Published: 15/02/2016 Last modified: 10/02/2023
      Firms carrying on designated investment businesses that acquire new clients through a transfer of business or takeover need proof of customer consent

1083. MLA E: Residential loans to individuals FAQs

      Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
      MLA E: Residential loans to individuals FAQs

1084. Portfolio letter: Our Alternatives Supervision Strategy [pdf]

      Correspondence Published: 22/01/2020
      This letter outlines our view of the key risks of harm that alternative investment firms pose to their customers or the markets in which they operate.

1085. Outsourcing claim activities to private investigators

      Tasks for regulated firms Published: 09/02/2016 Last modified: 14/02/2023
      Understand the responsibilities of insurers for the actions of private investigators (PIs) who investigate claims.

1086. Call for Input: Open finance

      Calls for input Published: 17/12/2019 Last modified: 26/03/2021
      In this paper we set out some of the recent developments across the crowdfunding sector and a number of concerns that we have identified in response.

1087. Report a payment services or e-money firm

      Consumers Report a firm Published: 12/01/2018 Last modified: 11/09/2023
      Get in touch with the FCA if you think a payment services or e-money firm hasn’t met its legal requirements to you.

1088. Information on business interruption insurance - December 2022

      FOI Release Date of Release: 13/12/2022
      The FCA provides a list of all individuals, firms and principals with permissions to provide mortgage advice as at 1 December 2021.

1089. How to change in response to changing threats

      Speeches Published: 17/05/2023 Last modified: 05/06/2023
      Speech by Sarah Pritchard, Executive Director of Markets, and Executive Director of International, at XLOD Global New York – The Future of Non-Financial Risk & Control across the 3 Lines of Defence.

1090. IRHP: businesses in financial distress

      Consumers Published: 26/04/2016 Last modified: 14/12/2021
      How the IRHP review considers businesses in financial difficulty, businesses in administration and dissolved companies.