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Showing 412 to 421 of 443 search results for fines insurance broker.
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Fines
Table of fines with links to further information. -
Coronavirus and customers in temporary financial difficulty: draft updated guidance for insurance and premium finance firms
We propose to extend the guidance for insurance and premium finance firms for a further three months, until 31 October 2020 -
FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading
We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering. -
Former Swinton executives fined and banned from senior roles after insurance add-ons mis-selling
The Financial Conduct Authority (FCA) has fined three former senior executives of Swinton Group Limited (Swinton) £928,000. The FCA’s action follows previous enforcement action taken against Swinton: in 2013 it was fined £7.4m after it adopted -
Interest rate benchmark reform: transition to a world without LIBOR
Andrew Bailey, chief executive of the FCA, on transitioning from LIBOR to alternative interest rate benchmarks. -
FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings
The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls. -
FSA fines Aon Limited £5.25m for failings in its anti-bribery and corruption systems and controls
The Financial Services Authority (FSA) has today fined Aon Limited (Aon Ltd) £5.25 million for failing to take reasonable care to establish and maintain effective systems and controls to counter the risks of bribery and corruption associated with -
The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator
The Financial Conduct Authority (FCA) has today banned Elizabeth Anne Parry from performing any function in relation to any regulated financial activity and fined her £109,400 for lying repeatedly to the regulator when asked about her qualification -
Cost of Living: good and poor practice in the general insurance market
We have reviewed how home and motor insurers are supporting customers in financial difficulty and handling claims. We found examples of good practice, but also areas where firms need to improve. -
Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator
The fine is so large because Deutsche Bank also misled the regulator, which could have hampered its investigation. ... Deutsche Bank settled at an early stage of the investigation, qualifying for a 30% discount on its fine.