Search results

Showing 1 to 10 of 115 search results for adequate professional indemnity insurance.

1. Professional indemnity insurance

   Tasks for firms Published: 13/05/2015 Last modified: 13/07/2023
   Professional indemnity insurance (PII) is liability insurance that covers firms when a third party claims to have suffered a loss, usually due to professional negligence.

2. Distributors: professional indemnity insurance

   Tasks for regulated firms Published: 13/05/2015 Last modified: 10/02/2023
   Certain firms are required to hold Professional Indemnity Insurance (PII)

3. RMA-E Professional indemnity insurance self certification: FAQs

   Registers and systems Published: 13/05/2016 Last modified: 13/05/2021
   RMA-E Professional indemnity insurance self certification: FAQs

4. Information about professional insurance indemnity premiums - July 2020

   FOI Release Date of Release: 27/07/2020
   The FCA provides information about professional insurance indemnity premiums

5. 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

6. RMA-E: Professional Indemnity Insurance

   Registers and systems Published: 12/05/2016 Last modified: 13/05/2021
   RMA-E: Professional Indemnity Insurance

7. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

   Press Releases Published: 01/02/2016 Last modified: 01/02/2016
   The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

8. Appointed representatives and networks

   Tasks for firms Published: 05/08/2015 Last modified: 19/07/2023
   Principals often have networks of appointed representatives (ARs). Find out how to control your networks to reduce risks to your business.

9. Review of host Authorised Fund Management firms

   Multi-firm reviews Published: 30/06/2021 Last modified: 05/08/2021
   We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

10. Improving the Appointed Representatives regime through greater use of data

    Data Published: 28/09/2023 Last modified: 03/10/2023
    This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and