Search results

Showing 1 to 11 of 35 search results for FCA ban and significant fine on insurance broker.

1. Fines

   Table of fines with links to further information.

2. Tribunal upholds FCA ban and significant fine on insurance broker

   Press Releases Published: 28/06/2013 Last modified: 17/09/2013
   The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for

3. FCA bans and fines former insurance broker £140,000

   Press Releases Published: 19/07/2013 Last modified: 17/09/2013
   The Financial Conduct Authority (FCA) has fined and banned Paul Cable of Bromley, Kent £140,000 for failing to act with integrity.

4. FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies

   Press Releases Published: 15/01/2013 Last modified: 29/03/2013
   The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237.

5. 2014 fines

   News stories Published: 02/01/2014 Last modified: 31/08/2016
   This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

6. The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins

   Press Releases Published: 07/10/2013 Last modified: 07/02/2022
   FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst).

7. Regulating Financial Promotions and Adverts

   Tasks for firms Published: 04/05/2015 Last modified: 28/05/2024
   Promoting services for deposits, investments, mortgages, insurance or consumer credit must comply with financial promotion rules. Learn how to keep your firm's advertising fair and clear.

8. FCA sets out multi-occupancy leasehold insurance reforms

   Press Releases Published: 21/04/2023 Last modified: 15/01/2024
   The FCA is proposing new rights and protections for leaseholders to improve the transparency of the multi-occupancy leasehold buildings insurance market.

9. Financial crime resources

   Published: 08/02/2024 Last modified: 03/07/2024
   Find publications about our Financial Crime Public Commitment, including news, speeches, podcasts, events and external publications.

10. FCA bans and fines trader £662,700 for manipulating gilt price during QE

    Press Releases Published: 20/03/2014 Last modified: 01/04/2014
    FCA bans and fines trader £662,700 for manipulating gilt price during QE. ... Without this discount, the FCA would have imposed a fine of £946,800.

11. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    The Financial Conduct Authority (FCA) has fined and banned two former senior executives of interdealer broker Martin Brokers (UK) Limited (‘Martins’) for compliance and cultural failings at the firm. ... David Caplin has been fined £210,000 in