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Showing 112 to 121 of 443 search results for fines insurance broker.

  1. Fines

    Table of fines with links to further information.

  2. Apply to become a mortgage broker

    Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
    Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application.

  3. Trail commission

    Consumers Published: 18/04/2016 Last modified: 13/06/2022
    If you received financial advice or used an intermediary to buy an investment product before 31 December 2012, you may be paying trail commission. Find out how you can stop paying.

  4. Final Notice 2015: Moorhouse Group Limited [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 7 related to mis-selling and culture/governance in the general insurance and protection sector. We imposed a fine.

  5. FSA Final Notice 2006: A S General Insurance Brokers Plc [pdf]

    Final notices Published: 10/07/2006 Last modified: 14/06/2014
    FSA Final Notice 2006: A S General Insurance Brokers Plc

  6. The fairness challenge

    Speeches Published: 24/10/2013 Last modified: 25/10/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

  8. Meeting the growth challenge

    Speeches Published: 15/05/2013 Last modified: 16/08/2013
    Speech by Martin Wheatley, Chief Executive, the FCA, at the British Insurance Brokers’ Association (BIBA) conference, ExCel Centre, London. This is the text of the speech as drafted, which may differ from the delivered version.

  9. FSA Supervisory Notice 2009: Griffiths McAlister Insurance Brokers Limited [pdf]

    Supervisory notices Published: 01/03/2009 Last modified: 14/06/2014
    FSA First Supervisory Notice 2009: Griffiths McAlister Insurance Brokers Limited

  10. Final Notice 2017: Best Broker Limited [pdf]

    Final notices Published: 20/11/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.

  11. Credit brokers and authorisation

    New firm authorisation Published: 09/08/2017 Last modified: 25/05/2022
    Here we list some typical misconceptions about the way we authorise credit brokers. Then we give you the facts.
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