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Showing 1081 to 1090 of 2644 search results for insurance broker.
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Final Notice 2015: Stephen Edward Bell [pdf]
This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We -
FSA - FG12/17: Summary of feedback received [pdf]
Firms should be undertaking an analysis of complaints about the previous sale of PPI policies. Where firms have identified that they may have mis-sold PPI policies, they may be contacting consumers to alert them and to advise that they may be -
Final Notice 2015: Ralph Whittington [pdf]
This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal. -
FCA Final Notice 2014: Anthony Clare [pdf]
This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine. -
Complaints data 2015 H2 summary info [pdf]
Latest statistics summary for complaints data for 2015 H2. -
British Steel Pension Scheme: Tools for firms
The FCA rules require firms to assess any advice they gave to BSPS members to transfer out and pay redress if it was unsuitable and caused the consumer a loss. Find out more about the tools firms need to use and read the supporting documents. -
Custodians
Find out what permissions you'll need to apply to the FCA for authorisation, how much you'll need to pay and what the FCA expects to see in your application. -
Final Notice 2017: David Stanley Mather [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser, mortgages and general insurance and protection sector. We imposed a cancellation. -
Assessing Suitability Review
This report sets out the findings from our review into the market for pensions and investment advice. -
Final Notice 2024: Nicholas Andrew McNeil [pdf]
This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the investment adviser sector. We imposed a prohibition.