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Showing 4071 to 4080 of 4246 search results for Insurance Services Limited.

4071. Investment advisers’ and authorised firms’ responsibilities when accepting business from unauthorised introducers or lead generators

      News stories Published: 02/08/2016 Last modified: 12/03/2024
      This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and other authorised firms.

4072. Temporary intervention on the marketing of speculative mini-bonds to retail investors

      Decisions and notices Temporary product interventions Published: 26/11/2019 Last modified: 26/11/2019
      We are introducing temporary rules to prevent consumer harm, by banning the promotion of high risk speculative mini-bonds to most retail consumers.

4073. Schroders Bonds UK / Schroder Investment Management (Clone of FCA authorised firm)

      Warnings Published: 01/07/2021 Last modified: 01/07/2021
      Schroders Bonds UK / Schroder Investment Management (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with

4074. Upper Tribunal upholds the Financial Conduct Authority’s decision to fine and ban Charles Palmer former CEO of adviser network

      Press Releases Published: 09/08/2017 Last modified: 09/08/2017
      On 8 August 2017, the  Upper Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Charles Palmer, former CEO of Financial Limited and Investments Limited (“the Firms”), from performing FCA significant influence functions. 

4075. FS16/1: Feedback Statement on DP15/4 – General insurance value measures

      Feedback statements Published: 01/03/2016 Last modified: 01/03/2016
      FS16/1: Feedback Statement on DP15/4 – General insurance value measures. Feedback statements First published:. ... In July 2014 we published the findings from our general insurance (GI) add-on products market study.

4076. Arbuthnot Securities/Arbuthnot Latham Private Bank (clone of FCA authorised firm)

      Warnings Published: 03/12/2020 Last modified: 03/12/2020
      Arbuthnot Securities/Arbuthnot Latham Private Bank (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with

4077. What firms and customers can expect from the consumer duty and other regulatory reforms

      Speeches Published: 29/09/2022 Last modified: 29/09/2022
      Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at City and Financial Global.

4078. Direct Lender Cash Panda / Cash Panda.co.uk Ltd (Clone of FCA authorised firm)

      Warnings Published: 25/11/2019 Last modified: 21/11/2020
      Direct Lender Cash Panda / Cash Panda.co.uk Ltd (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with

4079. Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money

      Press Releases Published: 09/10/2014 Last modified: 29/11/2021
      The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in

4080. Final Notice 2018: R M H Financial Services (Robert Michael Hulme trading as) [pdf]

      Final notices Published: 03/07/2018
      This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the investment advisory sector, mortgage lenders and intermediaries sector and General