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Showing 51 to 60 of 147 search results for hold Professional Indemnity Insurance.

51. 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.

52. Review of general insurance intermediaries’ professional indemnity insurance: TR16/9 [pdf]

    Thematic reviews Published: 05/12/2016
    This report provides the findings from our thematic review into general insurance intermediaries’ professional indemnity. The review was performed to evaluate the individual policies purchased by a sample of firms to assess whether they complied

53. Reviewing your resources

    Tasks for regulated firms Published: 03/08/2015 Last modified: 15/02/2023
    If you are a regulated firm, or wish to become regulated, you should review the level of resources required to operate your business effectively.

54. Firms

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

55. AIFMD

    Focus areas Published: 08/06/2016 Last modified: 06/02/2023
    The Alternative Investment Fund Managers Regulations (UK AIFMD) provide a regulatory framework for alternative investment fund managers (AIFMs). Find out about the requirements.

56. Accredited bodies for advisers

    Tasks for regulated firms Published: 21/12/2015 Last modified: 13/02/2023
    Read how accredited bodies can help advisers to maintain our required professional standards, and also report to us on these standards.

57. Data Bulletin June 2018: The retail intermediary sector

    Data Published: 07/06/2018 Last modified: 06/09/2018
    This bulletin focuses on new analysis of the retail intermediary sector based on the data firms have submitted to us via the Retail Mediation Activities Return (RMAR).

58. RMA-H COBS data: FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/05/2021
    RMA-H COBS data: FAQs

59. Appointed representatives and networks

    Tasks for firms Published: 05/08/2015 Last modified: 19/07/2023
    Principals often have networks of appointed representatives (ARs). Find out how to control your networks to reduce risks to your business.

60. AISP models under PSD2

    Tasks for regulated firms Published: 23/12/2019 Last modified: 10/02/2023
    The FCA provides what an Agency models for authorised payment institutions or small payment institutions under PSD2