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Showing 91 to 100 of 115 search results for adequate professional indemnity insurance.

  1. RMA-C Client money and assets: help text

    Registers and systems Published: 12/05/2016 Last modified: 13/06/2022
    RMA-C Client money and assets: help text

  2. TR15/6: Handling of insurance claims for Small and Medium-sized Enterprises (SMEs)

    Thematic reviews Published: 22/05/2015 Last modified: 23/06/2015
    TR15/6: Handling of insurance claims for Small and Medium-sized Enterprises (SMEs). ... We did not consider third party claims such as employers’ and public liability or professional indemnity claims.

  3. Derivation and changes tables

    Firms Published: 15/12/2023 Last modified: 15/12/2023
    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.

  4. FCA to ban promotion of speculative mini-bonds to retail consumers

    Press Releases Published: 26/11/2019 Last modified: 23/10/2023
    The FCA has announced it will ban the mass marketing of speculative mini-bonds to retail customers.

  5. RMA-B Profit and loss account: help text

    Registers and systems Published: 12/05/2016 Last modified: 13/05/2021
    RMA-B Profit and loss account: help text

  6. RMA-D1 Regulatory capital

    Registers and systems Published: 12/05/2016 Last modified: 13/06/2022
    RMA-D1 Regulatory capital

  7. Improper delegation of authorised activities - a notice for financial adviser firms and their advisers

    Multi-firm reviews Published: 30/11/2015 Last modified: 18/05/2017
    Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of

  8. FCA outlines approach for implementation of Mortgage Credit Directive and regulatory framework for second charge mortgages

    Press Releases Published: 25/09/2014 Last modified: 01/10/2014
    A number of other changes will also be implemented including new knowledge and competency requirements, obligations for firms dealing in foreign currency mortgages and new levels of professional indemnity insurance.

  9. Transforming to a forward-looking, proactive regulator

    Speeches Published: 15/07/2021 Last modified: 15/07/2021
    Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar.

  10. PS15/28: Capital resources requirements for personal investment firms (PIFs): feedback on CP15/17 and final rules

    Policy statements Published: 08/12/2015 Last modified: 11/08/2023
    Policy Statement on the main issues arising from CP15/17: Capital resources requirements for personal investment firms (PIFs) and publish the final rules.