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Showing 322 to 331 of 443 search results for fines insurance broker.
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Fines
Table of fines with links to further information. -
Fighting financial crime – the force multiplier effect
Speech by Sarah Pritchard, Executive Director, Markets, FCA at the Financial Crime Summit – 1LOD. -
General Insurance value measures data – year ending 31 August 2016
We have published general insurance value measures data for 38 insurers (including both UK and EEA firms) for the year ending 31 August 2016. -
RMA-D Regulatory capital and financial resources: FAQs
RMA-D Regulatory capital and financial resources: FAQs -
The FCA decides to ban and fine Timothy Roberts and Andrew Wilkins
FCA has published decision notices against Timothy Roberts, the chief executive, and Andrew Wilkins, a former director of Catalyst Investment Group Limited (Catalyst). -
Information on Temporary Permission Regime (TPR) - January 2021
The FCA responds multiple questions on the Temporary Permissions Regime. -
All UK Lenders (clone) (clone of FCA authorised firm)
We have published this statement in order to warn consumers against dealing with unauthorised firms. -
Former chief executive of stockbroker firm fined £450,000 and banned
This significant fine and ban sends a strong message to those who run financial services firms, that they will be made to answer for misconduct and that we will take particularly ... A sample review of Gracechurch broker calls showed that brokers -
Former senior trader sentenced for insider dealing
In a case brought by the Financial Conduct Authority (FCA), Julian Rifat – a former senior execution trader and portfolio strategist at Moore Europe Capital Management LLC – has today been sentenced at Southwark Crown Court to 19 months -
Final Notice: Aviva Pension Trustees UK Limited, Aviva Wrap UK Limited [pdf]
This final notice refers to breaches of PRIN 3, PRIN 10, CASS Rules, SUP and SYSC related to client money/assets and culture/governance in the life insurance sector. We imposed a fine. -
Information on firms sanctioned for greenwashing - April 2022
The FCA provides information on greenwashing.