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Showing 12 to 21 of 35 search results for FCA ban and significant fine on insurance broker.
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Fines
Table of fines with links to further information. -
2015 Disclosure Log
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. -
The changing face of financial crime
Speech by Martin Wheatley, Chief Executive, the FCA, at the FCA Financial Crime Conference, London. -
Former chief executive of stockbroker firm fined £450,000 and banned
This significant fine and ban sends a strong message to those who run financial services firms, that they will be made to answer for misconduct and that we will take particularly ... A sample review of Gracechurch broker calls showed that brokers -
Duty calls: Future-proofing finance for everyone
Now into the second year of its 3-year strategy, FCA outlines some key achievements and milestones from the last 12 months. -
FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010
The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka. -
Financial promotions quarterly data 2023 Q2
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 April 2023 and 30 June 2023. -
Financial promotions data 2022
The FCA publishes data on the number of financial promotions that it has taken action on to mitigate non-compliance with the FCA's rules. This data is for January 2022 to 31 December 2022. -
Our supervision overview
Speech by Clive Adamson, director of supervision, at the General Insurance conference, London. -
FCA fines CT Capital Ltd for failures related to PPI complaint handling
FCA fines CT Capital Ltd for failures related to PPI complaint handling. ... The Financial Conduct Authority (FCA) has today fined CT Capital Ltd (CT Capital) £2,360,900 for serious failings in its historic Payment Protection Insurance (PPI) complaint -
The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures
The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.