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Showing 131 to 140 of 324 search results for wide firm complaints data for 2015.

  1. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements

    Discussion papers Published: 26/03/2015 Last modified: 03/11/2016
    MiFID II is a wide-ranging piece of European legislation that will impact on wholesale markets and a wide range of financial services firms in the UK. ... Discussion paper DP15/3 [PDF]. This paper will be of interest to many different types of firm,

  2. A Better View

    Speeches Published: 20/09/2017 Last modified: 20/09/2017
    Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the AFME European Compliance and Legal Conference 2017

  3. FCA publishes Guidance Guarantee Policy Statement

    Press Releases Published: 27/11/2014 Last modified: 27/11/2014
    1. for the bodies responsible for delivering the Government’s new Guidance Guarantee aimed at those with defined contribution (DC) pensions.The FCA has also published rules requiring pension provider firms ... The pensions’ landscape will

  4. Personal data and Financial Lives survey

    Last modified: 01/02/2024
    This privacy notice explains what personal data the FCA collects during the Financial Lives survey and how and why it uses the information as part of its regulatory work.

  5. CPP card and identity protection compensation scheme closure

    News stories Published: 27/03/2015 Last modified: 13/03/2017
    No scheme complaints about claims forms received after 28 February 2015 (the exceptional bar date) will be considered by the scheme administrators. ... The firms that participated in the scheme do not have to consider complaints or compensation claims

  6. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I

    Consultation papers Published: 15/12/2015 Last modified: 22/08/2019
    Consultation papers First published:. 15/12/2015. Last updated: 22/08/2019. Share page. ... PDF]. This consultation affects a wide range of firms we authorise and recognise, particularly.

  7. From intellectual certainty to debate

    Speeches Published: 25/02/2015 Last modified: 26/02/2015
    From intellectual certainty to debate. Speeches First published:. 25/02/2015. Last updated: 26/02/2015. ... dotted line, to the fact they’ve taken reasonable steps to make sure their firm’s systems and controls effectively manage conduct risk.

  8. Electronic money and payment service providers: conduct of business requirements

    Tasks for firms Published: 29/07/2015 Last modified: 30/08/2023
    Read more about how conduct of business requirements affect payment service providers (PSPs) and electronic money issuers.

  9. 2017 Disclosure Log

    Last modified: 16/11/2023
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. 

  10. Insurance multi-firm review of outcomes monitoring under the Consumer Duty

    Insurance Multi-firm reviews Published: 26/06/2024 Last modified: 26/06/2024
    Our review of insurance firm approaches to monitoring customer outcomes.
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