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Showing 1261 to 1270 of 2645 search results for vulnerable customers.

  1. Asset Management Portfolio Letter [pdf]

    Correspondence Published: 22/01/2020
    This letter outlines our view of the key risks of harm that Asset Managers pose to their customers or the markets in which they operate. You should consider whether your firm presents these risks and your strategies for mitigating them.

  2. AXA IM Asia / AXA Hong Kong / AXA Investment Managers Hong Kong / Acervo Group (clone of FCA authorised firm)

    Warnings Published: 13/07/2017 Last modified: 13/07/2017
    Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this ‘clone firm’.

  3. Information for Cash Genie customers about its redress scheme

    News stories Published: 06/01/2016 Last modified: 18/05/2021
    Ariste Holding Limited, trading as Cash Genie, has entered into an agreement with the FCA to provide over £20 million redress to more than 92,000 customers for unfair practices.

  4. Culture and conduct - extending the accountability regime

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London.

  5. Financial promotions quarterly data 2021 Q3

    Data Published: 15/10/2021 Last modified: 27/04/2022
    The FCA publishes data on the number of financial promotions that have been amended or withdrawn due to non-compliance with the FCA's rules. This data is for 2021 Q3.

  6. FCA updates guidance for branch closures

    Press Releases Published: 11/10/2022 Last modified: 11/10/2022
    The FCA publishes additional guidance on expectations for banks that are considering branch or ATM closures

  7. Review of implementation of platform rules

    Thematic reviews Published: 03/03/2014 Last modified: 01/09/2016
    Platforms have become an important part of the investment market, with as many as 3 million customers using them to invest a total of more than £250bn of assets.

  8. GC15/1 Risks to customers from performance management at firms

    Guidance consultations Published: 16/03/2015 Last modified: 16/03/2015
    GC15/1 Risks to customers from performance management at firms. Guidance consultations First published:. ... This guidance is relevant to all firms with staff who deal directly with retail customers.

  9. FCA Authorisations operating service metrics 2023/24 Q4

    Data Published: 15/05/2024 Last modified: 15/05/2024
    The FCA reports on its authorisations metrics quarterly, to provide greater transparency of its performance. This data covers January to March 2024.

  10. Update on independent review of Royal Bank of Scotland’s treatment of business customers in financial difficulty

    Statements Published: 17/01/2014 Last modified: 08/11/2016
    This is expected to be a representative sample of customer experiences, good and bad. ... Answer:. Whilst customers can provide information to the FCA and its independent reviewer for context, this review will not determine whether customer remediation
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