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Showing 241 to 250 of 278 search results for wide firm complaints data for 2014.

  1. FCA responds to independent reviews into its regulation of London Capital & Finance and Connaught

    Press Releases Published: 17/12/2020 Last modified: 17/12/2020
    The FCA has responded to the independent investigations of its supervision of London Capital & Finance plc (LCF) and Connaught Income Fund Series 1 and connected companies (Connaught)

  2. FCA publishes update on PPI work – firms have improved complaints handling and are reopening two and a half million old complaints to ensure fair redress is paid

    Press Releases Published: 29/08/2014 Last modified: 01/11/2016
    In around two and a half million complaints this was not necessarily the case so, at our request, firms will be looking at these complaints again. ... While the FCA recognises that firms can change the way they handle complaints, it must always be done

  3. Finalising LIBOR transition – achievements in sterling markets and what remains to be done

    Press Releases Published: 09/02/2022 Last modified: 09/02/2022
    Bank of England, FCA and Working Group set out what more needs to be done and update on how the Working Group will operate in the future

  4. Review of host Authorised Fund Management firms

    Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
    We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

  5. The retrospective application of rules: feedback on the call for examples

    News stories Published: 22/01/2015 Last modified: 19/11/2021
    We asked firms to provide examples of the retrospective application of regulatory rules

  6. Reducing and preventing financial crime

    Corporate documents Published: 08/02/2024 Last modified: 08/02/2024
    We are providing an update on our progress and looking ahead to identify 4 areas of focus in the coming year.

  7. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    On 21 May 2015 the Tribunal upheld the Authority’s decision to impose a financial penalty of £10,000 on Mr Rosier, the director of a financial advice firm called Bayliss & ... failure to respond to client complaints appropriately; and. failure to have

  8. FCA statement on the Opinion of ESMA on our final rules for CFDs and CFD-like options

    Statements Published: 02/07/2019 Last modified: 04/07/2019
    This notice sets out the FCA's reasons for acting contrary to the European Securities and Markets Authority’s (ESMA) Opinion of our national product intervention measures restricting how CFDs and CFD-like options are sold to retail

  9. Information for customers of RMR Financial Services Ltd (trading as Compass Debt Counsellors)

    News stories Published: 18/03/2016 Last modified: 26/04/2019
    The firm’s interim permission from the FCA, which firms must have if they wish to offer debt management services, lapsed on 8 March 2016. ... We took over regulation of consumer credit, which includes debt management firms, on 1 April 2014.

  10. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews Published: 19/09/2019 Last modified: 19/09/2019
    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately. These are the findings of our review on how
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