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Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
FG14/3 - Budget 2014 – Pension reforms: guidance to firms in the interim period
annuities and income drawdown products on a non-advised basis (including comparison websites, brokers and investment platforms). ... Alternatively, please send your responses by post:. The Life Insurance Themes team. -
RMA-J Data required for collection of fees: help text (for reporting period ending 1 April)
Read our help text for Gabriel submission RMAR section J (RMA-J) data required for collection of fees. Firms with a reporting period ending on or after 1 April 2019. -
The retail intermediary market 2018
This page provides the FCA's analysis of the intermediary sector in 2018 based on data drawn from the Retail Mediation Activities Return (RMAR). -
Final Notice 2021: Triton Insurance Brokers Ltd [pdf]
This final notice refers to a firm no longer having any regulated activities in its permission, in the designated investment business and insurance business sector. We imposed a cancellation. -
The retail intermediary market 2019
This page provides the FCA's analysis of the intermediary sector in 2019 based on data drawn from the Retail Mediation Activities Return (RMAR). -
FCA launches Wholesale Insurance Brokers Market Study
The Financial Conduct Authority (FCA) has today launched a market study to assess how competition is working in the wholesale insurance broker sector. The FCA wants to ensure that the sector is working well, and fosters innovation and competition in -
SMEs and insurance brokers [pdf]
SME guide insurance brokers -
AT Brokers (Clone of EEA authorised firm)
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out more about this 'clone firm'. -
MS17/2: Wholesale Insurance Broker Market Study
We have published the final report for our Wholesale Insurance Broker Market Study, concluding that while there is room for improvement, we have not found evidence of significant levels of harm that merit the introduction of intrusive remedies. As a