Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 91 to 100 of 134 search results for Update for customers of insurance broker firm Professional.

  1. FCA finds small firms need to manage financial crime risks more effectively

    Press Releases Published: 14/11/2014 Last modified: 23/11/2021
    The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

  2. Defined benefit pension transfers market data October 2018-March 2020

    Data Published: 18/01/2021 Last modified: 29/01/2021
    Defined benefit pension transfers market data October 2018-March 2020

  3. FS20/13: Coronavirus and customers in temporary financial difficulty: feedback on draft updated guidance for insurance and premium finance firms

    Policy and guidance Feedback statements Published: 11/08/2020 Last modified: 20/08/2020
    We summarise the feedback we received on our proposed measures for insurance and premium finance firms, and our response.

  4. Dolfin Financial (UK) Ltd enters Special Administration

    News stories Published: 30/06/2021 Last modified: 12/07/2021
    Following an attempt to wind down solvent, the directors of Dolfin Financial (UK) Limited have applied to the Court to place the firm into Special Administration.

  5. Apply to become an electronic money or a payment institution

    Firm authorisation Published: 28/04/2015 Last modified: 19/06/2024
    Find out how to apply to the FCA if your firm wants to provide payment services, issue e-money or become a registered account information service provider.

  6. Restrictions placed on IBP Markets Limited and the Firm enters special administration

    News stories Published: 13/10/2023 Last modified: 05/06/2024
    We have imposed a number of restrictions on IBP Markets Limited, stopping it from carrying on any regulated activities due to concerns about the way it conducts its business, including about client money protections at the firm.

  7. Investor engagement in a changing regulatory landscape

    Speeches Published: 13/07/2015 Last modified: 14/07/2015
    requirements. Issuers will also be required to retain an insider list for 5 years after its last update. ... at this issue in detail, we had concerns that using this transaction cost mechanism to pay for access favoured firms generating the highest

  8. Defined Benefit (DB) transfers – further update on our work

    Multi-firm reviews Published: 05/06/2020 Last modified: 24/08/2020
    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.

  9. 2017 Disclosure Log

    Last modified: 16/11/2023
    The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2017. 

  10. 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.