Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 362 to 371 of 443 search results for fines insurance broker.

  1. Fines

    Table of fines with links to further information.

  2. The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure

    Press Releases Published: 15/07/2016 Last modified: 15/07/2016
    The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure. ... Very shortly after receiving this email, Mr Breeze instructed his broker to sell his entire shareholding in MoPowered ‘at

  3. UBS fined £9.45m for failings in its sale of an AIG fund

    Press Releases Published: 12/02/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) for failures in the sale of the AIG Enhanced Variable Rate Fund (the Fund). These failures led to UBS customers being exposed to an unacceptable risk of an unsuitable sale of the Fund.

  4. Consumer Investments: Strategy and Feedback Statement

    Corporate documents Published: 14/09/2021 Last modified: 15/06/2023
    The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

  5. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

    Press Releases Published: 22/01/2015 Last modified: 22/01/2015
    The Financial Conduct Authority (FCA) has fined and banned two former senior executives of interdealer broker Martin Brokers (UK) Limited (‘Martins’) for compliance and cultural failings at the firm. ... Without the discount, the fines would have

  6. Former Moore Capital trader pleads guilty to insider dealing

    Press Releases Published: 07/11/2014 Last modified: 05/04/2023
    In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing

  7. Insights from the 2020 Cyber Coordination Groups

    Research notes Published: 29/04/2021 Last modified: 29/04/2021
    Overview and insight from the latest quarterly Cyber Coordination Group meeting

  8. TR15/5: Provision of premium finance to retail general insurance customers

    Thematic reviews Published: 11/05/2015 Last modified: 30/08/2016
    TR15/5: Provision of premium finance to retail general insurance customers. Thematic reviews First published:. ... This report is aimed at general insurance intermediaries, insurers, relevant trade associations and consumer bodies.

  9. FG15/7 - Guidance on financial crime systems and controls

    Finalised guidance Published: 27/04/2015 Last modified: 30/08/2015
    In November 2014, we consulted on proposed examples of good practice from two thematic reviews that considered small banks’ anti-money laundering and financial sanctions, and small commercial insurance brokers’

  10. FSA fines The Co-operative Bank plc for failing to handle PPI complaints fairly

    Press Releases Published: 04/01/2013 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined The Co-operative Bank plc (Co-op) £113,300 for failing to handle payment protection insurance (PPI) complaints fairly.

  11. Exchange of letters and work on multiple-occupancy residential buildings insurance

    News stories Published: 28/01/2022 Last modified: 10/05/2022
    We outline the work we are carrying out in the insurance market for multi-occupancy residential buildings.
Related topics