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Showing 152 to 161 of 474 search results for Complaints data 1 January to 30.

  1. 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).

  2. Information provided on dawn raids - August 2020

    FOI Release Date of Release: 11/08/2020
    FCA provides information on dawn raids carried out by the FCA in the first 6 months of 2019 and 2020.

  3. Investment Firms Prudential Regime (IFPR)

    Firms Focus areas Published: 28/06/2021 Last modified: 10/04/2024
    The IFPR is our new prudential regime for MiFID investment firms. The regime came into force on 1 January 2022.

  4. PS14/18: Credit broking and fees

    Policy statements Published: 01/12/2014 Last modified: 02/01/2015
    Our new rules on credit broking came into effect on 2 January 2015. ... All firms should read the rules carefully and should have made any necessary changes to their systems and procedures before 2 January.

  5. FG15/2 - Primary Market Bulletin No. 10

    Newsletters Published: 30/01/2015 Last modified: 03/09/2016
    FG15/2 - Primary Market Bulletin No. 10. Newsletters First published:. 30/01/2015. ... In January 2014 the FCA published CP14/2, which primarily set out proposals to amend the Listing Rule provisions governing sponsor competence.

  6. PS15/19: Improving complaints handling, feedback on CP14/30 and final rules

    Policy statements Published: 22/07/2015 Last modified: 30/09/2022
    In the Policy Statement the FCA report on the main issues arising from CP14/30 and publish the final rules.

  7. Financial promotions data 2023

    Data Published: 14/02/2024 Last modified: 13/03/2024
    The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for 1 January 2023 to 31 December 2023.

  8. Capital distribution and accounting update on LF Equity Income Fund (formerly LF Woodford Equity Income Fund)

    News stories Published: 21/08/2020 Last modified: 24/08/2020
    On 18 January 2020, Link Fund Solutions Ltd (LFS), the Authorised Corporate Director (ACD) of the LF Equity Income Fund (LFEIF), started winding up the fund.

  9. Indigo Michael Limited (trading as Tappily and SafetyNet) enters administration

    News stories Published: 10/01/2023 Last modified: 10/01/2023
    On 9 January 2023, Indigo Michael Limited, trading as Tappily and SafetyNet, went into administration. AlixPartners UK LLP were appointed Joint Administrators. 

  10. Consumer investments data review April - September 2021

    Data Published: 03/03/2022 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2021 and 30 September 2021.

  11. Brexit countdown for UK financial services sector

    Press Releases Published: 24/12/2020 Last modified: 24/12/2020
    With one week to go until the end of the Brexit transition period, the FCA is urging financial services companies to ensure they are ready
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