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Showing 1091 to 1100 of 2644 search results for vulnerable customers.

  1. Outlining the FCA’s approach to authorisation

    Speeches Published: 15/03/2018 Last modified: 15/03/2018
    Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference.

  2. FSA - Mortgages Product Sales Data: Trend Report 2010 [pdf]

    Data Published: 01/08/2010 Last modified: 11/07/2016
    Since 1 April 2005, product providers have been required to provide the FSA with transaction level data on all sales of regulated mortgage contracts, retail investment products and certain pure protection products to retail and private customers.

  3. FSA - Mortgages Product Sales Data: Trend Report 2012 [pdf]

    Data Published: 01/08/2012 Last modified: 11/07/2016
    Since 1 April 2005, product providers have been required to provide the FSA with transaction level data on all sales of regulated mortgage contracts, retail investment products and certain pure protection products to retail and private customers.

  4. FSA - Mortgages Product Sales Data: Trend Report 2011 [pdf]

    Data Published: 01/08/2011 Last modified: 11/07/2016
    Since 1 April 2005, product providers have been required to provide the FSA with transaction level data on all sales of regulated mortgage contracts, retail investment products and certain pure protection products to retail and private customers.

  5. MoU between the FSA and the CFTC - Arrangement of Warehouse Information [pdf]

    Memorandums of understanding Published: 17/05/2000 Last modified: 30/05/2013
    This Arrangement addresses requests for Information between the Authorities regarding the operations and stocks of warehouses and the use of warehouses by regulated market members, their licensees or customers. memorandum of understanding, mou

  6. Moving towards a sustainable model of regulation

    Speeches Published: 03/11/2015 Last modified: 03/11/2015
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the ABI (Association of British Insurers) Conference in London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Uncle Buck LLP enters administration following FCA action

    News stories Published: 27/03/2020 Last modified: 27/03/2020
    The FCA had concerns that Uncle Buck Finance LLP (Uncle Buck) was failing to meet the adequate resources Threshold Condition. Given the severity of these concerns, the FCA has required Uncle Buck to stop lending to customers.

  8. Helping firms provide more support to customers making investment decisions

    Firms Published: 03/08/2023 Last modified: 30/10/2023
    Examples on providing consumers with greater levels of support, including getting closer to the advice guidance boundary for giving a personal recommendation.

  9. Learning from the last 30 years to face the next

    Speeches Published: 05/05/2022 Last modified: 06/05/2022
    Speech by our Chief Executive, Nikhil Rathi on the need to maintain skills and professional standards in the future; delivered at the CISI 30th anniversary dinner.

  10. FCA fines Barclays £26 million over treatment of customers in financial difficulty

    Press Releases Published: 15/12/2020 Last modified: 15/12/2020
    The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC, Barclays Bank PLC and Clydesdale Financial Services Limited (Barclays) £26 million for failures in relation to their treatment of consumer credit customers who fell into arrears
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