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Showing 231 to 240 of 754 search results for vulnerable customers fairly.
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FSA - GC12/11 [pdf]
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. -
Rolling regulation forwards
Speech by Nikhil Rathi, FCA Chief Executive delivered at the UK Finance annual dinner. -
FCA bans and issues largest ever fine of nearly £1 million on a retail sole trader for deliberately misleading vulnerable customers for personal gain
The Financial Conduct Authority (FCA) has fined sale and rent back arranger Gurpreet Singh Chadda £945,277 and banned him from working in the financial services industry for significant failings when conducting sale and rent back agreements. This -
FSA - Customer survey [pdf]
If you use a customer survey think about the questions you are asking and if they help you identify areas where your firm and its advisers are/are not treating customers fairly and therefore areas where improvements are needed. This document is -
Final Notice 2023: Equifax Limited [pdf]
This Final Notice relates to the outsourcing of data processing to an intragroup entity which experienced a data breach. The Final Notice refers to risk management failings (Principle 3) and failings in relation to treating customers fairly and -
Leading the Way on Regulation
Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019. -
Countdown to the Consumer Duty
Speech by Sheldon Mills, Executive Director, Consumers and Competition at EY: Less than three months to go until the Consumer Duty Implementation webinar -
Approved Persons Regime
Approved persons carry out certain activities on a firm's behalf and must be regulated by us. Learn about our requirements, conduct rules and 'fit and proper' test. -
Business interruption insurance
Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. -
Protecting consumers
Find out how the FCA protects consumers from harm caused by bad conduct in the financial services industry.