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Showing 121 to 130 of 147 search results for hold Professional Indemnity Insurance.
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FCA operating service metrics 2022/23
This report sets out how the FCA performed in 2022/23 against 54 operating service metrics, including how it dealt with regulatory applications, telephone enquiries and other correspondence. -
RMA-C Client money and assets: help text
RMA-C Client money and assets: help text -
CP19/20: Our framework: assessing adequate financial resources
The FCA are consulting on the purpose of adequate financial resources, what we look for from firms, and our expectations as to the practices firms should adopt within their assessments of adequate financial resources. -
Andrew Bailey speech at the Annual Public Meeting 2018
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at our 2018 Annual Public Meeting. -
RMA-B Profit and loss account: help text
RMA-B Profit and loss account: help text -
Keynote address: Financial crime in the FCA world
Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
SM&CR categorisation for solo-regulated firms
Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this. -
Information on Advisors and Intermediaries portfolio insolvency - May 2022
The FCA provides data on the Advisors and Intermediaries Portfolio insolvency. -
Improper delegation of authorised activities - a notice for financial adviser firms and their advisers
Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of -
FCA outlines approach for implementation of Mortgage Credit Directive and regulatory framework for second charge mortgages
A number of other changes will also be implemented including new knowledge and competency requirements, obligations for firms dealing in foreign currency mortgages and new levels of professional indemnity insurance.