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Showing 292 to 301 of 443 search results for fines insurance broker.
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Fines
Table of fines with links to further information. -
Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited
The Financial Conduct Authority (FCA) has today published a Decision Notice concerning Linear Investments Limited. Linear failed to take reasonable care to organise and control its affairs responsibly and effectively to ensure potential instances of -
Firm-level complaints data sortable table: 2023 H2
The data relates includes data from firms that report 500 or more complaints within this six month reporting period, or 1,000 or more for an annual reporting period. -
Creating and sustaining cultures of compliance: insights from psychology and beyond
In addition to calls for stricter penalties for offenders, we have seen notably higher fines imposed since the pre-crisis period, while scrutiny of the culture in financial service firms has ... Similarly, having people sign declarations that they will -
Four individuals charged over suspected water scam
The FCA alleges that the individuals ran an unauthorised investment scheme, which defrauded investors out of £3.9 million. -
Goanually (Clone of FCA Authorised Firm)
Goanually (Clone of FCA Authorised Firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to protect -
Methodology note on calculating capital pressures
In November 2012 the interim Financial Policy Committee recommended that the FSA takes action to ensure that the capital of UK banks and building societies reflects a proper valuation of their assets, a realistic assessment of future conduct costs -
LAMP Insurance Company Limited (LAMP) has entered into liquidation
LAMP is an insurance firm authorised and regulated by the Gibraltar Financial Services Commission (GFSC) -
Surveillance: The FCA's expectations and toolkits
Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Teamwork: A Smart way to tackle financial crime
Speech by Steve Smart, FCA joint executive director of enforcement and market oversight, delivered at the Financial Services Investigations and Enforcement Summit. -
CASS compliance – the bigger picture
Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.