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Showing 402 to 411 of 443 search results for fines insurance broker.

402. Fines

     Table of fines with links to further information.

403. Coronavirus and customers in temporary financial difficulty: guidance for insurance and premium finance firms

     Policy and guidance Finalised guidance Published: 14/05/2020 Last modified: 30/10/2020
     We set out our expectations for firms when considering the fair treatment of existing customers, and in particular customers with temporary financial difficulties due to coronavirus.

404. Ten years after Lehman: how accountants can make finance safer

     Speeches Published: 06/09/2018 Last modified: 25/11/2021
     Speech by Charles Randell, Chair of the Financial Conduct Authority and Payment Systems Regulator on how accountants can make finance safer.

405. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

     Press Releases Published: 28/07/2014 Last modified: 28/07/2014
     The £105 million total fine is the joint third highest ever imposed by the FCA or its predecessor, the Financial Services Authority, and the seventh penalty for LIBOR-related failures. ... On 15 May 2014, the FCA fined Martin Brokers (UK) Limited

406. FCA fines Towergate and former director Timothy Philip for client and insurer money failings

     Press Releases Published: 13/07/2016 Last modified: 13/07/2016
     FCA fines Towergate and former director Timothy Philip for client and insurer money failings. ... In February 2016 we took action against another Insurance Intermediary, Coverall, for misconduct that included a failure to adequately protect client money.

407. Defined Benefit (DB) transfers – further update on our work

     Multi-firm reviews Published: 05/06/2020 Last modified: 24/08/2020
     We set out further findings from our assessment of the suitability of defined benefit (DB) transfer advice, as part of a package of measures to improve standards in this area.

408. FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading

     Press Releases Published: 15/07/2022 Last modified: 15/07/2022
     The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case

409. Trust and confidence - ensuring firms’ ethics are built around their customers

     Speeches Published: 12/11/2013 Last modified: 12/11/2013
     Speech by Clive Adamson, Director of Supervision, at the Insurance Institute of London, London. This is the text of the speech as drafted, which may differ from the delivered version.

410. FS20/5: Coronavirus and customers in temporary financial difficulty: guidance for insurance and premium finance firms

     Policy and guidance Feedback statements Published: 14/05/2020 Last modified: 14/05/2020
     We summarise responses to our proposals for insurance and premium finance firms on the fair treatment of customers in temporary financial difficulty.

411. FCA makes final appointment to ExCo with Georgina Philippou as Chief Operating Officer

     Press Releases Published: 22/09/2015 Last modified: 22/09/2015
     The FCA also announced that Linda Woodall would become Director of Life Insurance and Financial Advice. ... Georgina started her career as a researcher in a major accountancy firm before moving on to become an investment analyst for an institutional

412. Lloyds Banking Group fined £4.3 million for delayed PPI redress payments

     Press Releases Published: 19/02/2013 Last modified: 09/12/2016
     The Financial Services Authority (FSA) has fined three Lloyds Banking Group firms a total of £4,315,000 for failings in their systems and controls that resulted in up to 140,000 customers receiving delayed payment protection insurance (PPI) redress.