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Showing 141 to 147 of 147 search results for hold Professional Indemnity Insurance.
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Competition Policy in Financial Markets – the view from the regulators
Speech by Mary Starks, Director of Competition, FCA, delivered at the Centre for Competition Policy (CCP) Conference on 10 June in Norwich. -
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 -
FCA bans three individuals from working in the financial services industry for non-financial misconduct
The Financial Conduct Authority (FCA) has prohibited Russell David Jameson, Mark Horsey, and Frank Cochran from working in the financial services industry following findings that they are not fit and proper. Each of them had been convicted of -
Regulated financial advice firms and individuals that attempt to avoid their redress liabilities
The FCA provides information to regulated financial advice firms -
FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs
His areas of expertise include disputes in the areas of financial services, regulatory matters and professional negligence. ... He is a member of Cass Business School’s Strategy Board and holds a Visiting Professorship from the University of South Wales -
FS21/8: Feedback to consultation paper on liquidity mismatch in authorised open-ended property funds
We consulted on reducing the potential for investor harm where the terms for dealing in some property funds are not aligned with the time it takes to buy or sell the buildings in which the funds invest in. -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions.