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Showing 111 to 120 of 155 search results for firm complaints data for 2012 H2.
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Shaping the future in asset management
Keynote speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Improving the consumer experience
Speech by Christopher Woolard, Director of Policy, Risk & Research at the FCA, to the Tax Incentivised Savings Association (TISA) Annual Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Connaught Income Series 1 Fund — update to investors
the Fund, then you should make your complaint(s) to the relevant firm(s) as soon as possible. ... a complaint to the firms that operated the Fund (or to the ombudsman service) or submitting a claim to the FSCS. -
Investors in CF Arch cru funds must ask adviser for review
Investors in the CF Arch cru Investment and Diversified funds will be asked if they want their investment reviewed to see if they are entitled to compensation. Find out more about the consumer redress scheme. -
Data on Whistleblowing cases about Firms or Advisers since 2011 - July 2021
The FCA provides data on the number of whistleblowing cases about firms or advisers, that have been received by us since 2011. -
Information for ARM investors
There have been a number of developments recently that affect investors in bonds issued by ARM Asset Backed Securities SA (ARM), a securitisation vehicle based in Luxembourg. We take a look at some frequently asked questions. -
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. -
The retail intermediary market 2018
This page provides the FCA's analysis of the intermediary sector in 2018 based on data drawn from the Retail Mediation Activities Return (RMAR). -
Traded life policy investments: alert for financial advisers
Firms that recommended to their clients that they invest into the EEA Life Settlements Fund should check that they have followed our 2012 guidance. -
Getting the right investor outcomes
Speech by William Amos, Director of Wholesale Banking and Investment Management at the Investment Week Fund Management Summit, London. This is the text of the speech as drafted, which may differ from the delivered version.