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Showing 711 to 720 of 2640 search results for vulnerable customers.

  1. Principals and appointed representatives

    Tasks for firms Firms Published: 09/05/2015 Last modified: 24/04/2024
    If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.

  2. The Evolution of the Mortgage Market

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    And where a customer does fall into payment difficulties, they are treated fairly. ... Where the customer is using the mortgage to purchase the property with the intention of letting it out.

  3. FSA - GC12/11 [pdf]

    Guidance consultations Published: 17/03/2013 Last modified: 11/07/2016
    We have developed this guidance to help firms identify and manage the risks from incentive schemes. The guidance sets out a number of ways, but not the only ways, firms can comply with the relevant requirements set out in the FSA Handbook.

  4. Authorised payment institution (authorised PI)

    Last modified: 22/09/2017
    3. All authorised PIs which are account servicing payment service providers (ASPSPs) also need to comply with requirements relating to AIS and PIS providers seeking access to their customers’ online payment ... customer authentication and secure

  5. Client assets and coronavirus (Covid-19)

    Firms Tasks for regulated firms Published: 06/04/2020 Last modified: 13/02/2023
    Summary of queries we have received and our position on client assets (CASS) compliance related to the current disruption caused by coronavirus (Covid-19).

  6. Infographic: Helping customers in persistent debt [pdf]

    Documents Published: 22/07/2019

  7. Final notice 2016: Shay Jacob Reches [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of section 63A and FIT related to appointed representatives, failing to be open and co-operative, client money, lack of fitness/propriety and unfair treatment of customers in the general insurance and protection

  8. Final Notice 2020: Barclays [pdf]

    Final notices Published: 15/12/2020
    This Final Notice (Barclays) refers to breaches of PRIN 6, PRIN 3, and CONC related to unfair treatment of customers in the Retail Banking sector. We imposed a financial penalty.

  9. The New Market Infrastructure

    Speeches Published: 16/05/2014 Last modified: 29/11/2016
    Keynote speech by David Lawton, Director of Markets, at the Economist Bellwether Conference. This is the text of the speech as drafted, which may differ from the delivered version.

  10. Business Plan 2021/22

    Business plans Published: 15/07/2021 Last modified: 19/08/2021
    Our Business Plan 2021/22 explains how we see our future role and priorities, how we intend to deliver them and how we will measure our performance.
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