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Showing 132 to 141 of 475 search results for Complaints data 1 January to 30.

132. Financial Services Register

     To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA).

133. Number of STRs received: 2007-2 July 2016

     Markets Market abuse Published: 04/05/2016 Last modified: 28/02/2024
     Suspicious transaction reports we received from 2007 to 2nd July 2016.

134. Report fee tariff data

     Tasks for regulated firms Published: 08/05/2015 Last modified: 15/02/2023
     Read FCA guidance on how to fill in your online tariff data forms and provide information about your firm that will help calculate annual fees for the next financial year.

135. PS18/2: Client money and unbreakable deposits

     Policy statements Published: 22/01/2018 Last modified: 22/01/2018
     This Policy Statement summarises the feedback we received to our consultation on depositing client money in unbreakable deposits.

136. 2017 fines

     News stories Published: 31/01/2017 Last modified: 07/03/2019
     This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 

137. PS18/25: EU Securitisation Regulation

     Policy statements Published: 12/10/2018 Last modified: 09/01/2019
     This Policy Statement outlines the final and near-final rules that implement the EU Securitisation Regulation and Capital Requirements Regulation (CRR) Amendment. This Policy Statement follows our Consultation Papers CP18/22 (August 2018) and

138. Principals and appointed representatives

     Tasks for firms Firms Published: 09/05/2015 Last modified: 24/04/2024
     If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA.

139. PS13/10: CRD IV for Investment Firms

     Policy statements Published: 13/12/2013 Last modified: 30/08/2015
     This Policy Statement (PS) includes the Handbook changes we are required to transpose under CRD IV by 1 January 2014. ... The Handbook rules and guidance in this PS will come into force on 1 January 2014.

140. Paul Feeney appointed Chair of the FCA’s Practitioner Panel

     Press Releases Published: 30/12/2020 Last modified: 30/12/2020
     The Financial Conduct Authority (FCA) has appointed Quilter CEO Paul Feeney as the Chair of its independent Practitioner Panel.

141. Retail Investments Product Sales Data dashboard

     Data Published: 28/06/2023 Last modified: 28/06/2023
     This page provides a breakdown of retail investment products sales data from 1 January 2017 to 31 December 2021.

142. Contract for differences

     Tasks for firms Published: 09/01/2017 Last modified: 21/04/2023
     Find out about the FCA's expectations of providers and brokers offering retail consumers contract for differences (CFD) products, which include spread betting and rolling spot foreign exchange (FX).