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Showing 42 to 51 of 84 search results for fines for complaint mishandling.

  1. Fines

    Table of fines with links to further information.

  2. The regulatory challenge

    Speeches Published: 23/02/2015 Last modified: 24/02/2015
    We start with history - we start with scandals and missteps, we start with large fines and larger redress bills, we start with an industry where some have progressed because they did ... highlight problems, do you take whistleblowing seriously, do you

  3. Annual Report 2013/14

    Corporate documents Published: 10/07/2014 Last modified: 16/02/2016
    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.

  4. Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser

    Statements Published: 21/05/2015 Last modified: 21/05/2015
    Tribunal upholds the Financial Conduct Authority’s decision to fine investment adviser. ... failure to respond to client complaints appropriately; and. failure to have regard to the statutory and regulatory provisions regarding the promotion of

  5. FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator

    Press Releases Published: 17/12/2019 Last modified: 17/12/2019
    The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials.

  6. Firm Details Attestation (FDA) since January 2021 - January 2022

    FOI Release Date of Release: 28/01/2022
    The FCA responds to multiple questions on Firm Details Attestation.

  7. Two individuals face bans and £1.3m fine for pension transfer advice failings

    Press Releases Published: 01/09/2023 Last modified: 01/09/2023
    The FCA has decided to fine Toni Fox £681,536 and David Price £632,594 for their roles in operating a flawed pension advice process.

  8. Lloyds Banking Group fined £117m for failing to handle PPI complaints fairly

    Press Releases Published: 05/06/2015 Last modified: 05/06/2015
    Some complaint handlers relied on the Overriding Principle to dismiss customers’ personal accounts of what had happened during the PPI sale or to not fully investigate customers’ complaints. ... The size of the fine today reflects the fact that so

  9. Consumer investments data review April 2020 - March 2021

    Data Published: 15/09/2021 Last modified: 13/06/2023
    A summary of the FCA's work to tackle consumer harm in the investment market, between 1 April 2020 and 31 March 2021.

  10. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

    Press Releases Published: 14/04/2015 Last modified: 30/09/2016
    In mid-2011 Clydesdale implemented inappropriate policies which meant that its PPI complaint handlers were not taking into account all relevant documents when deciding how to deal with complaints. ... Clydesdale’s inappropriate policies meant that, for

  11. How to organise a COO

    Speeches Published: 08/02/2023 Last modified: 08/02/2023
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at the Armstrong Wolfe COO Summit 2023