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Showing 1 to 10 of 912 search results for know your customer.

  1. 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.
  2. Coronavirus (Covid-19)

    Last modified: 06/08/2020
    Information for firms and consumers on the Coronavirus (Covid-19)
  3. 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.
  4. Wealth management

    Consumers Published: 18/04/2016 Last modified: 20/07/2020
    Find out about wealth management services and how to make sure you get the service you expect.
  5. Improving the suitability of financial advice

    Speeches Published: 19/09/2019 Last modified: 03/10/2019
    Speech by Debbie Gupta, Director of Life Insurance and Financial Advice Supervision at the FCA, delivered at Money Marketing Interactive Conference 2019, Harrogate.
  6. Consumers

    Consumers Last modified: 14/07/2020
    Consumers can find out about their rights with banking, insurance, mortgages and financial advice, and how to complain or avoid scams.
  7. 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.
  8. 2015 Disclosure Log

    Last modified: 30/01/2020
    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 2015. 
  9. 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.
  10. 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.