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Showing 71 to 80 of 246 search results for Professional indemnity insurance.
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FCA bans and fines financial adviser £68,300 for lacking honesty and integrity
The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval. -
FCA publishes Decision Notice against Markos Markou for lack of oversight
The FCA published a Decision Notice in respect of Markos Markou, the Director and Chief Executive of a mortgage broker firm, Financial Solutions (Euro) Limited (FSE). Mr Markou has referred the Decision Notice to the Tribunal. -
Derivation and changes tables
This page contains an interactive version of the tables derivation and changes tables produced by the FCA in policy statements dealing with the repeal and replacement of retained EU law. -
CP15/17: Capital resources requirements for Personal Investment Firms (PIFs)
consumers and consumer organisations. professional and trade bodies representing PIFs and other types of financial advisers. ... providers of professional indemnity insurance (PII) to PIFs. providers of investment platform, professional and other -
Tribunal directs Financial Conduct Authority to ban former insurance broker
Tribunal directs Financial Conduct Authority to ban former insurance broker. Press Releases First published:. ... Mr Allen was an insurance broker specialising in professional indemnity risks. -
CP19/20: Our framework: assessing adequate financial resources
The FCA are consulting on the purpose of adequate financial resources, what we look for from firms, and our expectations as to the practices firms should adopt within their assessments of adequate financial resources. -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
Defined Benefit (DB) transfers – further update on our work
We set out further findings from our assessment of the suitability of defined benefit (DB) transfer advice, as part of a package of measures to improve standards in this area. -
Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports.