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Showing 72 to 81 of 443 search results for fines insurance broker.

72. Fines

    Table of fines with links to further information.

73. Information on whistleblowing reports from general insurance brokers - April 2022

    FOI Release Date of Release: 04/04/2022
    The FCA provides information on whistleblowing reports from general insurance brokers.

74. William Fountain Insurance Brokers (Clone of FCA Authorised Firm)

    Warnings Published: 03/08/2022 Last modified: 03/08/2022
    William Fountain Insurance Brokers (Clone of FCA Authorised Firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this

75. FCA fines Citigroup’s international broker-dealer £12.6m for failures relating to the detection of market abuse

    Press Releases Published: 19/08/2022 Last modified: 19/08/2022
    The FCA has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement Market Abuse Regulation (MAR) requirements, relating to the detection of market abuse.

76. 2023 fines

    News stories Published: 12/01/2023 Last modified: 04/04/2024
    Enforcement fines published in 2023.

77. FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and

78. 2017 fines

    News stories Published: 31/01/2017 Last modified: 07/03/2019
    This table contains information about fines published during the calendar year ending 2017. The total amount of fines is £229,515,303. 

79. First Supervisory Notice 2020: Triton Insurance Brokers Ltd [pdf]

    Supervisory notices Published: 20/03/2020
    We varied the firm’s permission and imposed requirements on the firm.

80. Information on firms applying for permission to trade as general insurance brokers - May 2021

    FOI Release Date of Release: 04/05/2021
    The FCA provides average mean data about firms applying for permission to trade as a general insurance broker (selling non-investment insurance contracts).

81. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

82. 2013 fines

    News stories Published: 02/01/2013 Last modified: 26/03/2024
    Fines published during the calendar year ending December 2013.