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Showing 601 to 610 of 19687 search results for Insurance Services.

601. FCA Q4 15/16 Number of skilled person reports commissioned [pdf]

     Data Published: 04/05/2016 Last modified: 05/08/2016
     Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis.

602. Improving the Appointed Representatives regime through greater use of data

     Data Published: 28/09/2023 Last modified: 03/10/2023
     This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and

603. FCA Q3 15/16 Number of skilled person reports commissioned [pdf]

     Data Published: 04/02/2016 Last modified: 05/08/2016
     Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis.

604. Automated advice: existing rules and guidance

     Firms Published: 27/03/2022 Last modified: 10/02/2023
     Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered.

605. FCA introduces new rules on whistleblowing

     Press Releases Published: 06/10/2015 Last modified: 19/04/2016
     require its appointed representatives and tied agents to tell their UK-based employees about the FCA whistleblowing service. ... In the financial year 2007/08 the then Financial Services Authority received only 138.

606. FCA Q2 15/16 Number of skilled person reports commissioned [pdf]

     Data Published: 04/11/2015 Last modified: 15/07/2016
     Under the Financial Services and Markets Act, as amended by the 2012 Act, the FCA has the power to obtain a view from a third party (a ‘skilled person’) about aspects of a regulated firm's activities if it is concerned or wants further analysis.

607. FCA announces changes to its Executive Committee

     Press Releases Published: 06/12/2021 Last modified: 06/12/2021
     Stephen Braviner Roman appointed General Counsel and member of FCA's Executive Committee. Megan Butler to step down as Executive Director of Transformation.

608. Apply to approve an individual or firm

     Tasks for firms Published: 12/05/2015 Last modified: 27/04/2023
     Find out what you need to know before submitting your application.

609. Review of host Authorised Fund Management firms

     Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
     We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

610. The FCA's regional FinTech engagement

     Speeches Published: 26/04/2017 Last modified: 26/04/2017
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at Leeds Digital Festival.