Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 1 to 10 of 904 search results for know your customer.

  1. FSA - Customer File Reviews [pdf]

    Archive Published: 06/12/2007 Last modified: 03/08/2016
    This document is intended to help you consider the type of information you could get from reviewing a customer’s file. Think about your current process. Does it only act as a check for administrative errors or does it allow you to assess the advice process as well as the quality of the advice given.
  2. Our approach to ensuring firms treat vulnerable customers fairly

    Speeches Published: 05/03/2020 Last modified: 06/03/2020
    Speech given by Nisha Arora, Director, Consumer and Retail Policy at the TISA Vulnerability Conference.
  3. Wealth management

    Consumers Published: 18/04/2016 Last modified: 29/05/2018
    Find out about wealth management services and how to make sure you get the service you expect.
  4. Appointed representatives and networks

    Tasks for regulated firms Published: 06/08/2015 Last modified: 15/06/2016
    We expect you to have the right procedures to effectively monitor and control your business and networks of appointed representatives.
  5. Coronavirus (Covid-19)

    Last modified: 03/07/2020
    Information for firms and consumers on the Coronavirus (Covid-19)
  6. Consumers

    Consumers Last modified: 11/06/2020
    Consumers can find out about their rights with banking, insurance, mortgages and financial advice, and how to complain or avoid scams.
  7. Unauthorised payments from your account

    Consumers Know your rights Published: 18/04/2016 Last modified: 13/01/2018
    In most circumstances, your bank must refund you for an unauthorised payment. Find out what your rights when money is taken from your account without your permission.
  8. How to complain

    Consumers Complaints and compensation Published: 19/04/2016 Last modified: 16/04/2020
    Financial firms we regulate must have a procedure in place for resolving disputes with their customers and respond to you within set deadlines.
  9. Change of legal status

    Tasks for regulated firms Published: 07/08/2015 Last modified: 23/03/2018
    If we authorise your firm and you are thinking of changing its legal status, eg, from a partnership to a limited company - you must apply for authorisation for the new company.
  10. How to claim compensation if a firm fails

    Consumers Complaints and compensation Published: 19/04/2016 Last modified: 16/04/2020
    If you are owed money by a financial firm that goes bust, you may be entitled to compensation. Find out more.