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Showing 261 to 270 of 335 search results for Legal and General Insurance Limited.

  1. Former Moore Capital trader pleads guilty to insider dealing

    Press Releases Published: 07/11/2014 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing

  2. Statutory notices issued by the RDC

    Who we are Published: 19/07/2022 Last modified: 17/06/2024
    Find out more about warning notices and decision notices issued by the Regulatory Decisions Committee (RDC), the documents you’ll receive if you get one, and how to respond.

  3. 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.

  4. Whistleblowing qualitative assessment survey 2022

    Data Published: 04/05/2023 Last modified: 04/05/2023
    This report sets out the findings of a qualitative assessment survey of a small sample of whistleblowers who disclosed their concerns about wrongdoing to the FCA. The survey was conducted to understand whistleblowers’ experience of reporting to

  5. Recovery plans – initial observations

    News stories Published: 19/05/2016 Last modified: 19/05/2016
    In general, the identification and analysis of internal and external interconnectedness was insufficient. ... interconnectedness). The majority of plans included a good summary of the firm’s general governance arrangements.

  6. Whistleblowing reports by firm type 2019-2022 - February 2022

    FOI Release Date of Release: 18/02/2022
    The FCA provides data on whistleblowing disclosures.

  7. FCA confirms extension of the Temporary Permission Regime deadline

    Press Releases Published: 24/05/2019 Last modified: 24/05/2019
    The FCA has today confirmed the deadline for notifications for the temporary permissions regime (TPR) will be extended to the end of 30 October 2019. TPR would allow EEA-based firms passporting into the UK to continue new and existing regulated

  8. FCA fines Swinton Group Limited £7.38 million for mis-selling monthly add-on insurance policies

    Press Releases Published: 16/07/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined Swinton Group Limited (Swinton), one of the largest insurance retailers on the high street, £7,380,400 for mis-selling. The FCA found that Swinton’s aggressive sales strategy meant that it failed to

  9. FCA further bolsters its leadership team as it expands its headcount

    Press Releases Published: 05/07/2022 Last modified: 06/07/2022
    The Financial Conduct Authority (FCA) has appointed six directors as it expands its headcount to meet a growing remit and to achieve its ambitious strategy, which launched in April. The appointments announced today, which fill a mix of new and

  10. RMA-D1 Regulatory capital

    Registers and systems Published: 12/05/2016 Last modified: 13/06/2022
    RMA-D1 Regulatory capital