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Showing 531 to 540 of 555 search results for Broker Insurance Services Limited.
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Unit-linked funds’ governance review (follow up to PS18/8): findings and next steps
We reviewed firms’ governance practices covering the value provided by unit-linked funds. -
FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings
The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls. -
FCA outlines proposals to extend the Senior Managers and Certification Regime to all financial services firms
In October 2015, HM Treasury announced its intention to extend the Senior Managers and Certification Regime (SM&CR) to all sectors of the financial services industry. -
High Court finds that 24HR Trading Academy unlawfully advised on investments and unlawfully promoted CFD trading
The High Court has delivered a summary judgement ruling that 24HR Trading Academy Limited contravened the Financial Services and Markets Act 2000 (FSMA) by providing unauthorised investment advice to consumers via WhatsApp messages. -
Free trade in financial services and global regulatory standards: friends not rivals
Speech by Andrew Bailey, Chief Executive of the FCA, at the Economic Council Financial Markets Policy Conference. -
Joint statement by UK and US authorities on continuity of derivatives trading and clearing post-Brexit
Market participants can be assured of the continuity of derivatives trading and clearing activities between the UK and US, after the UK’s withdrawal from the EU, following this joint statement by the Bank of England including the Prudential -
Financial Conduct Authority unveils successful sandbox firms on the second anniversary of Project Innovate
The Financial Conduct Authority (FCA) today marks the second anniversary of Project Innovate by announcing the firms that were successful in their applications to begin testing in the first cohort of the regulatory sandbox. -
FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls
The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
mainstream propositions and many having very limited experience of standard investments. ... Some firms operated business models whereby all customers were treated as ‘insistent’ or seeking execution-only services. -
General insurance product value and coronavirus (Covid-19) Guidance – update
We set out the findings from our multi-firm review assessing how firms have responded to our general insurance (GI) distribution chain Guidance (further to the product governance rules implemented by the IDD) and coronavirus (Covid-19) value Guidance