Search results
Showing 901 to 910 of 990 search results for wide firm complaints data.
-
Senior Managers and Certification Regime Banking Stocktake Report
The findings of our review into the embedding of the Senior Managers and Certification Regime (SM&CR) in the banking sector. The SM&CR was introduced for deposit-taking firms and dual-regulated investment firms (the banking sector) in March 2016. -
CP14/5: Changes to regulatory reporting: Adviser and consultancy charging, Authorised Professional Firms (APFs) and Product Sales Data (PSD)
introduce changes to how we collect this data with the aim of reducing the reporting obligation for firms. ... Any firms who are or will be subject to the Product Sales Data requirements in SUP 16.11. -
FCA statement on ESMA’s ongoing work on possible product intervention measures applicable to retail CFD and binary option products
The European Securities and Markets Authority (ESMA) has made an announcement today on its work in relation to the provision of contracts for differences (CFDs), including rolling spot forex, and binary options to retail clients. -
New FCA complaints data: 3.32 million complaints about financial services in the first six months of 2017
The Financial Conduct Authority (FCA) has today published the data on the number of complaints reported by firms for the first half of 2017. -
FCA taking assertive action to tackle harm in the consumer investments market
The FCA is taking assertive action to tackle harm in the consumer investments market, as the latest data shows it has stopped 1 in 4 firms from entering this market. -
Consumer Investments Strategy - 2 Year Update
The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021. -
TR15/7: Delegated authority: Outsourcing in the general insurance market
We reviewed the outsourcing arrangements of 12 insurers representing a broad range of firms operating in the UK general insurance market. ... We also reviewed the activities of 19 firms that held underwriting and/or claims handling authority from those -
FCA sets out next steps to improve defined benefit pension transfer market
FCA sets out a package of measures designed to address weaknesses across the defined benefit (DB) transfer market. -
Market abuse requires a dynamic response to a changing risk profile
a range of different functions, from cleaning staff to your head of compliance, but also IT support and other functions, should be considered in your firm-wide assessment of the access ... The other element I would highlight is the potential that firms -
Proceeds of fraud - Detecting and preventing money mules
We share the key findings from our review of payment account providers’ systems and controls against money mule activity.