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Showing 21 to 30 of 128 search results for arrangements on professional indemnity insurance.
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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 -
RMA-H COBS data: help text
RMA-H COBS data: help text -
Improper delegation of authorised activities - a notice for financial adviser firms and their advisers
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 -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA. -
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. -
Review of principal firms in the investment management sector
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
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 launches consultation on changes to its FSCS rules and invites discussion on future funding of the scheme
The Financial Conduct Authority (FCA) has today announced that it is inviting views on the future funding of the Financial Services Compensation Scheme (FSCS) and has also launched a consultation on a number of specific changes to its scheme rules. -
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. -
Market Force and the Chartered Institute’s Nicholas Barbon Lectures
Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London