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Showing 261 to 270 of 754 search results for vulnerable customers fairly.
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Tackling the hard questions
Speech by Mark Steward, director of enforcement and market oversight, at the Thomson Reuters Annual Compliance and Risk Summit 2016. -
The business of social purpose
A speech by Jonathan Davidson, Executive Director of Supervision – Retail and Authorisations, on the business of social purpose. -
Information for firms on motor finance complaints
Guidance for firms affected by the FCA's review into the historical use of discretionary commission arrangements (DCAs) in the motor finance industry. -
Appointed representatives and networks
Principals often have networks of appointed representatives (ARs). Find out how to control your networks to reduce risks to your business. -
Whistleblowing quarterly data 2023 Q4
The data shows the number of new whistleblowing reports the FCA received in October and December 2023 and the allegations they featured. -
Insurance: business practice, suitability and eligibility
The rules in ICOBS 7 were amended so they were closer to the wording in the Distance Marketing of Consumer Financial Services Directive (DMD). The requirements applying to insurers are unchanged. -
A credit market that delivers for consumers
Speech by Roma Pearson, Director of Consumer Finance, delivered at Credit Summit 2023. -
FCA fines Henderson £1.9m for fund failings
The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two of its funds, Henderson Japan Enhanced Equity Fund and the Henderson North -
FSA - Customer File Reviews [pdf]
This document is intended to help you consider the type of information you could get from reviewing a customer’s file. Think about your current process. Does it only act as a check for administrative errors or does it allow you to assess the -
FSA - Treating Customers Fairly: Management Information [pdf]