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Showing 141 to 150 of 443 search results for also required to publish complaints data.

  1. FCA publishes final rules to make those in the banking sector more accountable

    Press Releases Published: 07/07/2015 Last modified: 19/04/2016
    FCA publishes final rules to make those in the banking sector more accountable. ... While individuals who fall under this regime will continue to be pre-approved by regulators, firms will also be legally required to ensure that they have procedures in
  2. UK EMIR news

    Markets policy Published: 24/05/2016 Last modified: 18/12/2023
    Read our archive of news relating to EMIR dating back to August 2013.
  3. FCA publishes terms of reference for asset management market study

    Press Releases Published: 18/11/2015 Last modified: 18/11/2015
    FCA publishes terms of reference for asset management market study. Press Releases First published:. ... The FCA will also set out any areas where few or no problems have been found.
  4. CP15/11: Implementation of the Transparency Directive Amending Directive (2013/50/EU) and other Disclosure Rule and Transparency Rule changes

    Consultation papers Published: 20/03/2015 Last modified: 07/02/2022
    The Transparency Directive (TD) principally harmonises requirements on companies regarding information disclosure.
  5. Requests for letters of goodstanding

    Last modified: 14/10/2020
    Whether we hold any relevant adverse information. Whether we areaware of any complaints against the firm. ... Please note that we do not publish all notices in all instances and information may be provided where possible as part of the goodstanding letter
  6. Consumer credit – Ongoing service and end of agreement

    Consumer credit firms Published: 26/04/2019 Last modified: 03/02/2023
    We outline why your commitment to customers does not end after they enter into an agreement with you.
  7. Market Watch 67

    Newsletters Published: 28/05/2021 Last modified: 28/05/2021
    Newsletter on market conduct and transaction reporting issues.
  8. Interest rate hedging products (IRHP)

    Consumers Know your rights Published: 19/04/2016 Last modified: 14/12/2021
    We explain the background to the mis-selling and redress scheme.
  9. FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies

    Press Releases Published: 13/02/2013 Last modified: 23/11/2021
    The Financial Services Authority (FSA) has published the results of a mystery shopping review, carried out between March and September 2012, looking into the quality of investment advice given by banks and building societies.
  10. CP13/12: CRD IV for investment firms

    Consultation papers Published: 10/10/2013 Last modified: 30/08/2015
    CRD IV is the EU implementation of Basel III for banks, which also applies to investment firms. ... We will consider your feedback and publish a policy statement later in 2013 so firms have the final rules available before 1 January 2014.