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Showing 41 to 50 of 95 search results for Complaints data 2006 to 2008.
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UBS fined £9.45m for failings in its sale of an AIG fund
The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund. -
Sustainability
Misleading advertisements, the mis-selling of low value insurance and poor complaints handling contribute significantly to the general public’s mistrust of financial services. ... We will also continue our work to ensure that firms’ ongoing -
FSA publishes discussion paper on transparency
The Financial Services Authority (FSA) has published a discussion paper looking at how transparency and more effective disclosure could improve the accountability of the regulator and the financial services industry, and help consumers make more -
FCA publishes complaints data for the second half of 2012
We have published the latest complaints data showing complaints to financial services firms between July and December 2012. -
Insider dealers sentenced in Operation Tabernula trial
In a case brought by the Financial Conduct Authority (FCA), Martyn Dodgson, a senior investment banker, and Andrew Hind, a Chartered Accountant, have today been sentenced at Southwark Crown Court to 4.5 years and 3.5 years imprisonment. -
The changing face of financial crime
Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London. -
Annual Report 2013/14
Our Annual Report 2013/14 covers our first year in operation. It sets out how we delivered against our statutory objectives and highlights our key achievements as an organisation. -
Coronavirus: Information for small businesses that are customers of financial services firms
Information on the Government support available during the coronavirus (Covid-19) pandemic and as businesses look to recover and grow. -
Two convicted of insider dealing in Operation Tabernula trial
In a case brought by the FCA and following a three-month trial at Southwark Crown Court, two defendants – a senior investment banker and a Chartered Accountant – have been convicted of conspiring to insider deal. -
Richard Baldwin, sentencing 3 September 2019
On 3 September 2019, at Southwark Crown Court, His Honour Judge Hehir sentenced Mr Richard Baldwin to a total of 5 years and 8 months’ imprisonment.