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Showing 671 to 680 of 990 search results for wide firm complaints data.

  1. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

  2. FCA response to Provident’s scheme being approved by the High Court

    Statements Published: 04/08/2021 Last modified: 04/08/2021
    We continue to have significant concerns about Schemes of Arrangement being proposed and used by firms to avoid paying customers redress. The firm remains under investigation for its conduct.

  3. Information on Consumer Network and roundtable events - November 2021

    FOI Release Date of Release: 12/11/2021
    The FCA responds to multiple questions on the FCA's Consumer Network.

  4. FCA proposes measures to improve the effectiveness of UK primary listed debt markets

    Press Releases Published: 27/04/2016 Last modified: 27/04/2016
    the UK Debt Market Forum (the Forum).The Forum brought together a wide range of experts from the UK-listed primary bond listed debt markets. ... On 1 April 2013 the Financial Conduct Authority (FCA) became responsible for the conduct supervision of all

  5. Expect the unexpected: cyber security in 2017 and beyond

    Speeches Published: 24/04/2017 Last modified: 27/07/2017
    Speech by Nausicaa Delfas, Executive Director at the FCA, delivered at the Financial Information Security Network.

  6. Besso Limited fined for anti-bribery and corruption systems failings

    Press Releases Published: 19/03/2014 Last modified: 19/03/2014
    Despite receiving two visits from us, and numerous industry wide warnings, Besso failed to ensure that they had proper systems and controls in place to counter the risks of bribery and ... Firms must play their part in preserving the integrity of the UK

  7. MoneyThing Capital Limited enters administration

    News stories Published: 21/12/2020 Last modified: 21/12/2020
    On 21 December 2020, the Directors of MoneyThing Capital Limited, a regulated Peer-to Peer (P2P) firm, placed the firm into administration and appointed Tom Straw and Milan Vuceljic of Moorfields Advisory Ltd as Joint Administrators.

  8. FCA bans debt management couple for misappropriating client money

    Press Releases Published: 23/10/2017 Last modified: 23/10/2017
    The Financial Conduct Authority (FCA) has today banned Adrian and Christine Whitehurst, former directors of debt management firm First Step Finance Limited (now dissolved), for dishonestly misappropriating client money. Over 4000 customers lost a

  9. Retail banking: product governance review

    Multi-firm reviews Published: 05/03/2018 Last modified: 05/03/2018
    The latest stage of our supervision work looked at product governance in small and medium-sized retail banks. It examined how well banks consider customers’ needs when they design and sell products and provide after-sales services. We found common

  10. Business Loan Network Limited enters administration

    News stories Published: 16/04/2021 Last modified: 16/04/2021
    On 15 April 2021, the Directors of Business Loan Network Limited, a regulated Peer-to Peer (P2P) firm, received court approval to place the firm into administration.
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