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Showing 162 to 171 of 443 search results for fines insurance broker.
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Fines
Table of fines with links to further information. -
A to Z of financial terms - Fines insurance broker
A to Z of financial services to help you understand financial and legal terms. -
Final Notice 2018: John Lawrence Radford [pdf]
This final notice refers to breaches of APER 6, APER 7 and CASS relating to client money/assets and lack of fitness/propriety in the general insurance and protection sector. We imposed a fine and prohibition. -
Final notice 2016: Coverall Worldwide Ltd [pdf]
This final notice refers to breaches of PRIN 1, PRIN 3, PRIN 10, CASS and COND related to appointed representatives, client money, failing to act on information appropriately, threshold conditions and unfair treatment of customers in the general -
Unique Car Insurance; Unique Car Insurance 17
We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. -
Regulating Financial Promotions and Adverts
Promoting services for deposits, investments, mortgages, insurance or consumer credit must comply with financial promotion rules. Learn how to keep your firm's advertising fair and clear. -
Change in Control
Find out when you need to notify us to acquire or change control in a firm that we regulate. -
Final notice 2015: Vroni O'Brien [pdf]
This final notice refers to breaches of APER 2, APER 7, FIT and CASS related to a lack of fitness/propriety, client money/assets and failing to act on information appropriately in the general insurance and protection sector. We imposed a fine and -
Final Notice: Interactive Brokers (UK) Limited [pdf]
This final notice refers to breaches of PRIN 3 and SUP 15.10.2R relating to poor market abuse controls and failure to report suspicious client transactions. We imposed a fine. -
The retail intermediary market 2021
This page provides the FCA's analysis of the intermediary sector in 2021 based on data drawn from the Retail Mediation Activities Return (RMAR). -
Debt management activity and authorisation
Here we list some typical misconceptions about the way we authorise firms engaged in debt management activity. Then we give you the facts.