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Showing 181 to 190 of 246 search results for Professional indemnity insurance.

181. FCA bans Jon Frensham from working in financial services

     Press Releases Published: 17/09/2021 Last modified: 17/09/2021
     The FCA has banned director Jon Frensham (formerly known as Jonathan James Hunt) from performing any regulated activity

182. CP13/3: Quarterly consultation paper No.1

     Consultation papers Published: 05/06/2013 Last modified: 07/02/2022
     In this Quarterly Consultation Paper (QCP) we are consulting on miscellaneous amendments to our Handbook.

183. Continuing Professional Development (CPD) and professional qualification exams during coronavirus

     Tasks for regulated firms Published: 27/05/2020 Last modified: 10/02/2023
     During the current pandemic, we expect firms to continue to demonstrate that relevant individuals remain competent to carry out their work.

184. Former senior trader sentenced for insider dealing

     Press Releases Published: 19/03/2015 Last modified: 05/04/2023
     In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months

185. Consumer warning on pre-paid probate plans

     News stories Published: 25/01/2023 Last modified: 25/01/2023
     We strongly advise you to consider carefully whether a pre-paid probate plan meets your needs and offers value before buying as there are no regulatory protections in place for you.

186. Financial conduct regulation in a restless world

     Speeches Published: 08/05/2019 Last modified: 08/05/2019
     Speech by Christopher Woolard, Executive Director of Strategy and Competition at the FCA, delivered at the Deloitte conduct risk roadshow.

187. Wealth Management Association (formerly APCIMS) speech

     Speeches Published: 09/10/2013 Last modified: 10/10/2013
     Speech by FCA Chairman, John Griffith-Jones, delivered to the Wealth Management Association in London. This is the text of the speech as drafted, which may differ from the delivered version.

188. New accountability regime for banks and insurers comes into force

     Press Releases Published: 07/03/2016 Last modified: 19/04/2016
     The Senior Managers Regime for the banking sector and the Senior Insurance Managers Regime both come into force today. ... We hold ourselves to the highest professional standards and so we have decided to apply the fundamental principles of the Regime to

189. External audit requirements for investment management firms, securities and futures firms and personal investment firms (not small)

     Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
     Read more about the external audit requirements for investment management firms, securities and futures firms, or personal investment firms (not small).

190. Applying to approve financial promotions for unauthorised persons

     Firms Published: 11/09/2023 Last modified: 28/05/2024
     Find out how to apply to the FCA for permission to approve the financial promotions of unauthorised persons.