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Showing 2451 to 2460 of 2644 search results for insurance broker.

  1. Statement from the Prudential Regulation Authority announces changes to depositor and policyholder protection

    Statements Published: 03/07/2015 Last modified: 04/11/2019
    The Prudential Regulation Authority (PRA) is today announcing changes to depositor and policyholder protection provided by the Financial Services Compensation Scheme (FSCS). For the majority of depositors currently covered by the FSCS, the existing

  2. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I

    Consultation papers Published: 15/12/2015 Last modified: 22/08/2019
    investment banks. interdealer brokers. firms engaging in algorithmic and high-frequency trading.

  3. Impact assessment: Thematic review: Principals and their Appointed Representatives (ARs) in the General Insurance (GI) sector [pdf]

    Impact assessments Published: 23/06/2017
    This impact assessment relates to the thematic review of Principals and their Appointed Representatives (ARs) in the General Insurance (GI) sector. It has been verified by the Regulatory Policy Committee.

  4. MiFID II costs and charges disclosures review findings

    Multi-firm reviews Published: 28/02/2019 Last modified: 28/02/2019
    As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and

  5. Key findings on our recent work on pension transfer advice

    Multi-firm reviews Published: 06/12/2018 Last modified: 06/12/2018
    Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we

  6. Information on enforcement investigations opened against individuals (SMR) - May 2022

    FOI Release Date of Release: 11/05/2022
    The FCA provides data on enforcement investigations opened against individuals (SMR).

  7. PS17/6: Disclosure rules following application of PRIIPs Regulation

    Policy statements Published: 02/05/2017 Last modified: 02/05/2017
    02/05/2017. Last updated: 02/05/2017. In July 2016 we published CP16/18 setting out how we propose to reflect the Packaged Retail and Insurance-based Investment Products (PRIIPs)

  8. Lloyds Banking Group fined £105m for serious LIBOR and other benchmark failings

    Press Releases Published: 28/07/2014 Last modified: 28/07/2014
    On 15 May 2014, the FCA fined Martin Brokers (UK) Limited £630,000 for misconduct relating to LIBOR.

  9. CP15/10: Strengthening accountability in banking: UK branches of foreign banks

    Consultation papers Published: 16/03/2015 Last modified: 14/09/2015
    PRA CP7/15 / FCA CP15/5 on Approach to Non-Executive Directors in banking and Solvency II insurance firms & Application of the Presumption of Responsibility to Senior Managers in banking firms.

  10. FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010

    Press Releases Published: 08/08/2013 Last modified: 17/09/2013
    The Financial Conduct Authority (FCA) has today published a Decision Notice for Tariq Carrimjee of Somerset Asset Management LLP in relation to assisting Goenka.
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