Search results

Showing 382 to 391 of 443 search results for fines insurance broker.

382. Fines

     Table of fines with links to further information.

383. Investor relations in an increasingly regulated and international world

     Speeches Published: 19/06/2013 Last modified: 18/07/2013
     Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013.

384. Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse

     Press Releases Published: 06/03/2015 Last modified: 06/03/2015
     Tribunal partly upholds the Financial Conduct Authority’s decision to fine Tariq Carrimjee for assisting a client to commit market abuse. ... Mr Davis, the senior partner and compliance officer at Paul E Schweder Miller & Co and Vandana Parikh, the

385. Clydesdale Bank fined £20,678,300 for serious failings in PPI complaint handling

     Press Releases Published: 14/04/2015 Last modified: 30/09/2016
     This is the largest ever fine imposed by the FCA for failings relating to PPI. ... The fact that Clydesdale misled the Financial Ombudsman by providing false information about the information it held is particularly serious and this is reflected in the

386. Claims handling lessons learned from business interruption insurance

     Multi-firm reviews Published: 04/10/2022 Last modified: 04/10/2022
     The FCA sets out the findings from its review assessing how firms handled Business Interruption (BI) insurance claims following the Supreme Court’s judgment on the BI test case, including examples of good practices and areas where firms have

387. Information on Advisors and Intermediaries portfolio insolvency - May 2022

     FOI Release Date of Release: 11/05/2022
     The FCA provides data on the Advisors and Intermediaries Portfolio insolvency.

388. FCA finds small firms need to manage financial crime risks more effectively

     Press Releases Published: 14/11/2014 Last modified: 23/11/2021
     The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk.

389. Information on enforcement on transparency of consumer facing documents - June 2022

     FOI Release Date of Release: 13/06/2022
     The FCA provides information on its enforcement of section 68 of the Consumer Rights Act 2015 in relation to the 'transparency' of consumer-facing documents.

390. Four former directors of online consumer credit broker banned for misleading customers

     Press Releases Published: 25/07/2018 Last modified: 25/07/2018
     The Financial Conduct Authority (FCA) has banned David James Carter Mullins, Edward John Booth, Christopher Paul Brotherton and Mark Robert Kennedy, the former directors and shareholders of Secure My Money Limited (now dissolved).

391. GC14/7 Proposed guidance on financial crime systems and controls

     Guidance consultations Published: 14/11/2014 Last modified: 30/08/2015
     and financial sanctions, and small commercial insurance brokers anti-bribery and corruption, systems and controls. ... TR14/17 Managing bribery and corruption risk in commercial insurance broking: update.

392. Market Force and the Chartered Institute’s Nicholas Barbon Lectures

     Speeches Published: 06/02/2013 Last modified: 29/03/2013
     Speech by Andrew Bailey, Managing Director, Prudential Business Unit at the Chartered Institute’s Nicholas Barbon Lectures, London