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Showing 2441 to 2450 of 2649 search results for vulnerable customers.

  1. Berkeley Burke SIPP Administration Limited in administration but SIPP business is transferred to Hartley

    News stories Published: 18/09/2019 Last modified: 18/09/2019
    On 18 September 2019 the directors of Berkeley Burke SIPP Administration Limited ('BBSAL'), a firm authorised and regulated by the FCA, appointed Adrian Allen and Diana Frangou of RSM Restructuring Advisory LLP as Joint Administrators

  2. Occasional Paper No. 18: Market-Based Finance: Its Contributions and Emerging Issues

    Occasional papers Published: 26/05/2016 Last modified: 02/09/2016
    Properly regulated and supervised MBF can contribute to a dynamic and competitive financial services sector, develop new and innovative products to meet customers’ needs.

  3. PS18/3: Perimeter guidance on personal recommendations on retail investments

    Policy statements Published: 23/02/2018 Last modified: 23/02/2018
    This Policy Statement sets out our response to feedback on new perimeter guidance on what constitutes a personal recommendation, which we published in consultation CP17/28: FAMR Implementation Part II and insistent clients (PDF).

  4. FSA fines Royal Bank of Scotland Group £5.6m for UK sanctions controls failings

    Press Releases Published: 03/08/2010 Last modified: 29/11/2021
    The Financial Services Authority (FSA) has today fined members of the Royal Bank of Scotland Group (RBSG) £5.6m for failing to have adequate systems and controls in place to prevent breaches of UK financial sanctions.

  5. FCA publishes four month update on the banks’ reviews of sales of interest rate hedging products

    Press Releases Published: 04/09/2013 Last modified: 23/01/2017
    mis-sold (customers with caps will need to complain to their bank first). ... For customers who have opted-in to the review, the majority of ‘compliance’ assessments (i.e.

  6. Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls

    Press Releases Published: 23/01/2014 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).

  7. Watch out for signs of loan fee fraud as summer spending fuels financial pressure

    Press Releases Published: 09/08/2023 Last modified: 09/08/2023
    With summer in full swing, the FCA launches its latest campaign to help consumers spot and avoid loan fee fraud.

  8. High-cost short-term credit and coronavirus: updated temporary guidance for firms [pdf]

    Guidance consultations Published: 03/07/2020
    This guidance applies in the exceptional circumstances arising out of the coronavirus pandemic (Covid-19) and its impact on the financial situation of high-cost short-term credit customers.

  9. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  10. Cancellations and refunds: helping consumers with rights and routes to refunds

    Policy and guidance Guidance consultations Published: 31/07/2020 Last modified: 07/08/2020
    We are consulting on guidance for firms to help their customers identify their quickest and easiest options to claim for any cancelled travel or events caused by coronavirus (Covid-19).
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