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Showing 2371 to 2380 of 2649 search results for vulnerable customers.
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FCA calls on insurance intermediaries to better manage conflicts of interest when dealing with small business clients
The FCA wanted to establish how the flow of revenue from insurers or other sources to intermediaries could affect how customers were treated. ... disclosure provided to customers was sometimes very generic and unlikely to meet their information needs or -
FCA fines Stonebridge International Insurance Limited £8.4m in relation to sales of insurance policies
take responsibility for their outsourcing arrangements and ensure that they treat customers fairly.". ... Up to 486,444 customers across the UK and EU could be affected. -
FCA publishes Annual Report 2015/16 and report of its competition activities since 2013
Publishing the final findings following the Retirement Income Market Study, proposing remedies which included making customers more aware of annuity rates available on the open market when discussing annuities, and simplifying ... pension providers’ at -
CP18/12 and CP18/13: Consultations on High-cost Credit and on Overdrafts
As part of our ongoing review of high-cost credit products, we are publishing our proposed rules and guidance for consultation. We have also identified a number of areas for discussion. -
Finalised Guidance: Mortgages and coronavirus: further updated tailored support guidance for firms
This guidance is designed to enable firms to continue to deliver support to customers affected by the coronavirus pandemic. -
FCA publishes occasional papers on behavioural economics exploring how people make financial decisions
The Financial Conduct Authority (FCA) has published two occasional papers on behavioural economics to explore how people make financial decisions. -
Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators
This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms. -
FCA fines SEI Investments (Europe) Limited £900,200 for client money breaches
However, the rules are designed to be preventative. Had SEI suffered an insolvency event during this period, customers could have suffered loss due to SEI’s non-compliance with the Client -
The FCA’s approach to supervising wealth management and private banking firms
Speech by Clive Adamson, Director of Supervision, the FCA, at the APCIMS Compliance Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Former B&B Group Finance Director fined £30,000 for failings ahead of 2008 rights issue
Christopher Willford fined £30,000 for failing to provide the board with up-to-date information about B&B’s financial position, including profits, mortgage arrears and re-possessions, ahead of its 2008 rights issue.