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Showing 52 to 61 of 84 search results for fines for complaint mishandling.

52. Fines

    Table of fines with links to further information.

53. Our approach to international firms

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation.

54. The Evolution of the Mortgage Market

    Speeches Published: 11/03/2015 Last modified: 11/03/2015
    However, after several consultations and some fine tuning I think that by the time the new rules went live in April last year, the mortgage market had evolved in such a ... However, for the 11% of consumers who meet the definition, government’s

55. Our supervision overview

    Speeches Published: 02/06/2014 Last modified: 03/06/2014
    Speech by Clive Adamson, Director of Supervision, the FCA, at the General Insurance conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

56. Time is running out: the pressure is on to prioritise PPI

    PPI Press Releases Published: 22/08/2019 Last modified: 22/08/2019
    With one in five Brits reporting they’ve left making a decision to the last minute and with a week to go to the PPI complaints deadline, the time for decision-making is now.

57. Our approach to supervision

    Corporate documents Published: 19/03/2024 Last modified: 19/03/2024
    Our approach to supervision sets out how we carry out our regulatory oversight. It is designed to help firms, consumers and markets understand how we work, and fulfil our accountability to Parliament and to the public.

58. FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays

    Press Releases Published: 11/05/2018 Last modified: 11/05/2018
    The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have together fined Mr James Staley, Chief Executive of Barclays Group (Barclays), a total of £642,430. Mr Staley failed to act with due skill, care and diligence

59. 2017 Disclosure Log

    Last modified: 16/11/2023
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. 

60. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    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.

61. FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears

    Press Releases Published: 29/10/2014 Last modified: 29/10/2014
    FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears. ... These issues were not spotted because weaknesses in checking procedures and management information, and a failure to identify customer

62. Adviser Mark Abley pays £106k for poor pension transfer advice

    Press Releases Published: 26/06/2023 Last modified: 26/06/2023
    The FCA has banned Mark Abley of County Capital Wealth Management Ltd (in liquidation) (CCWM) from providing any advice on pension transfers.