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Showing 302 to 311 of 343 search results for former insurance broker.

302. Forms

     List of all forms on fca.org.uk  For Handbook forms, please use the Handbook forms page.

303. 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).

304. Making competition king – the rise of behavioural economics at the FCA

     Speeches Published: 25/03/2014 Last modified: 25/03/2014
     Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version.

305. 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

306. 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.

307. The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures

     Press Releases Published: 01/02/2016 Last modified: 01/02/2016
     The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings.

308. 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.

309. 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

310. PS22/13: Calculating redress for non-compliant pension transfer advice 

     Policy and guidance Policy statements Published: 28/11/2022 Last modified: 05/04/2023
     We set out the changes to our methodology for calculating redress for consumers who suffered financial loss from transferring from a defined benefit to a defined contribution pension scheme following non-compliant advice. This includes former

311. Insurance firms failing to consider value of the products and services provided to consumers

     Press Releases Published: 10/04/2019 Last modified: 10/04/2019
     The Financial Conduct Authority (FCA) is warning General Insurance (GI) firms about manufacturing, sales and distribution approaches that can lead to customers purchasing inappropriate products, paying excessive prices or receiving poor service.

312. 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.