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Showing 951 to 960 of 2644 search results for vulnerable customers.
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The defining challenge of our time
Speech by Martin Wheatley, Chief Executive of the FCA, delivered at the NAPF Investment Conference, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version. -
LIBOR: preparing for the end
Speech by Andrew Bailey, Chief Executive of the FCA, at the Securities Industry and Financial Markets Association's (SIFMA) LIBOR Transition Briefing in New York, USA. -
Final notice 2016: Wayne Anthony Redgrave [pdf]
This final notice refers to breaches of APER 6 and ICOBS related to appointed representatives, failing to act on information appropriately and unfair treatment of customers in the general insurance and protection sector. We imposed a fine. -
Market Watch 73
In this edition we share our observations and findings from our recent market abuse peer review into firms that offer Contracts for Difference products and spread bets. -
Service standards 2020/21
The FCA measures its performance using service standards. These are the levels of performance that it aims to meet when carrying out its regulatory functions. This service standards analysis is for 2020/21. -
Final notice 2016: Coverall Worldwide Ltd [pdf]
This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 10, CASS and COND related to appointed representatives, client money, failing to act on information appropriately, threshold conditions and unfair treatment of customers in the general -
Information for customers of One Stop Money Manager Limited
FCA update on Merchant Optimisation Services Limited -
From intellectual certainty to debate
But these are effectively two sides of the same coin. Conduct infringements in the markets can, as we all know, ultimately deprive retail customers at the end of wholesale chains of ... Are there competition issues affecting corporate clients directly, -
Primary Market Bulletin 49
This issue looks at Annual financial reporting, Long Term Incentive Plans (LTIPs) Global Depositary Receipts (GDRs) report -
Assessing Suitability Review
This report sets out the findings from our review into the market for pensions and investment advice.