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Showing 1681 to 1690 of 2645 search results for vulnerable customers.
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FCA fines ADM Investor Services International Limited £6,470,600 for serious financial crime control failings
The broker has been fined for inadequate anti-money laundering (AML) systems and controls. -
TR14/1 – Transition Management Review
We expect firms to act in the best interests of their customers at all times when moving investment portfolios between managers and markets. ... to review and ensure communications with customers are clear, fair and not misleading, and. -
Preparing for Brexit in financial services: the state of play
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at Bloomberg - London -
FCA highlights areas of focus for firms implementing the Consumer Duty
With 6 months to go before the Consumer Duty comes into force, the Financial Conduct Authority (FCA) has published a review of how firms are planning to implement the Duty. -
Credit Card Market Study
Find out how the FCA has taken measures to improve the consumer credit market for those potentially in problematic debt. -
FG17/4: The fair treatment of mortgage customers in payment shortfall: impact of automatic capitalisations
We are publishing finalised guidance on the treatment of customers with mortgage payment shortfalls. The guidance covers remediation for mortgage customers who may have been affected by the way firms calculate these customers’ monthly mortgage -
DP14/3 The use of dealing commission regime
We have carried out a review on whether further changes are needed to deliver a more transparent and efficient asset management sector for end investors. -
FCA issues statement of objections to 3 money transfer firms
In a statement of objections, the Financial Conduct Authority (FCA) alleges that Dollar East (International Travel & Money Transfer) Ltd, Hafiz Bros Travel & Money Transfer Limited, and LCC Trans-Sending Limited (including its parent company Small -
Changes to the Regulated Activities Order
The Treasury’s investment advice requirements give firms more scope to provide information to customers on financial products and services. Read our summary of the requirements. -
Overdrafts and coronavirus: additional guidance for firms [pdf]
This guidance applies in the exceptional circumstances arising out of the coronavirus pandemic (Covid-19) and its impact on the financial situation of overdraft customers.