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Showing 372 to 381 of 443 search results for fines insurance broker.

  1. Fines

    Table of fines with links to further information.

  2. FS16/5: Call for Inputs on Big Data in retail general insurance

    Feedback statements Published: 21/09/2016 Last modified: 06/03/2017
    In this Feedback Statement we summarise the responses we have received to our Call for Inputs on the use of Big Data in retail general insurance (GI), and outline our responses to the issues raised.

  3. ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR

    Press Releases Published: 25/09/2013 Last modified: 04/11/2014
    While IEL had certain policies and procedures in place to govern individual broker behaviour, they were insufficient to deal with collusion between brokers and their clients. ... IEL is a member of the ICAP Group - the world's largest inter-dealer broker.

  4. FCA fines PPC for misleading consumers and banks in first CMC case closed by the regulator

    Press Releases Published: 17/12/2019 Last modified: 17/12/2019
    The Financial Conduct Authority (FCA) has fined Professional Personal Claims Limited (PPC) £70,000 for misleading consumers through its websites and printed materials.

  5. UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR

    Press Releases Published: 19/12/2012 Last modified: 29/03/2013
    The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.

  6. FCA fines Bastion Capital London Limited £2.5m for serious financial control failings

    Press Releases Published: 13/07/2023 Last modified: 13/07/2023
    The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading.

  7. Supporting material for applications by consumer credit, mortgage and other consumer finance firms

    Firm authorisation Published: 15/11/2023 Last modified: 13/12/2023
    If you're applying to be authorised by the FCA, find out what supporting material to include in your application and how to prepare everything.

  8. FSA fines Norwich Union Life £1.26m for exposing its customers to the risk of fraud

    Press Releases Published: 17/12/2007 Last modified: 08/11/2016
    The Financial Services Authority (FSA) has fined Norwich Union Life £1.26 million for not having effective systems and controls in place to protect customers' confidential information and manage its financial crime risks. These failings resulted in

  9. The FCA censures Catalyst Investment Group Limited for misleading investors and fines former compliance officer

    Press Releases Published: 03/10/2013 Last modified: 07/02/2022
    he Financial Conduct Authority (FCA) has censured Catalyst Investment Group Limited (Catalyst) for recklessly misleading investors when promoting bonds offered by ARM Asset Backed Securities SA (ARM) between November 2009 and May 2010.

  10. Defined benefit pension transfers market data October 2018-March 2020

    Data Published: 18/01/2021 Last modified: 29/01/2021
    Defined benefit pension transfers market data October 2018-March 2020

  11. CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)

    Consultation papers Published: 01/05/2018 Last modified: 15/04/2019
    We have made final rules to change how the FSCS is funded and are consulting on changes to our Professional Indemnity Insurance (PII) requirements for Personal Investment Firms (PIFs).
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