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Showing 2581 to 2590 of 2644 search results for insurance broker.

  1. FCA bans three individuals from working in the financial services industry for non-financial misconduct

    Press Releases Published: 05/11/2020 Last modified: 05/11/2020
    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

  2. Occasional Paper No. 9: Two plus two makes five? Survey evidence that investors overvalue structured deposits

    Occasional papers Published: 05/03/2015 Last modified: 05/03/2015
    Occasional Paper No. 9: Two plus two makes five? Survey evidence that investors overvalue structured deposits. Occasional papers First published:. 05/03/2015. Last updated: 05/03/2015. Occasional Paper No. 9: Two plus two makes five? Survey

  3. Information for customers of Beaufort Securities Limited (BSL) and Beaufort Asset Clearing Services Limited (BACSL)

    News stories Published: 29/05/2018 Last modified: 15/04/2024
    Information on what you should do if you were a customer of these firms.

  4. RMA-F Threshold conditions: help text

    Registers and systems Published: 12/05/2016 Last modified: 13/06/2022
    RMA-F Threshold conditions: help text

  5. Deutsche Bank fined £227 million by Financial Conduct Authority for LIBOR and EURIBOR failings and for misleading the regulator

    Press Releases Published: 23/04/2015 Last modified: 24/04/2015
    On 29. th. October 2013, the FCA fined Rabobank £105m. On 15 May 2014, the FCA fined Martin Brokers £630,000.

  6. Information about reports made to the FCA about sexual misconduct and sexual discrimination - July 2020

    FOI Release Date of Release: 22/07/2020
    The FCA provides on information about reports made to the FCA about sexual misconduct and sexual discrimination

  7. New rules on packaged bank accounts have improved standards, but firms have more work to do on sales and complaints handling

    Press Releases Published: 20/10/2016 Last modified: 20/10/2016
    The Financial Conduct Authority (FCA) has today published findings from its thematic review of packaged bank accounts.

  8. PS15/28: Capital resources requirements for personal investment firms (PIFs): feedback on CP15/17 and final rules

    Policy statements Published: 08/12/2015 Last modified: 11/08/2023
    Policy Statement on the main issues arising from CP15/17: Capital resources requirements for personal investment firms (PIFs) and publish the final rules.

  9. FCA fines The TJM Partnership Limited (in liquidation) £2 million for serious financial crime control failings in relation to cum-ex trading

    Press Releases Published: 15/07/2022 Last modified: 15/07/2022
    The FCA has fined The TJM Partnership Limited (in liquidation) £2,038,700 for failing to ensure it had effective systems and controls to identify and reduce the risk of financial crime and money laundering in its business. This is the third case

  10. FCA review of medium-sized firms’ PPI complaints handling finds significant room for improvement

    Press Releases Published: 25/09/2013 Last modified: 29/11/2016
    The Financial Conduct Authority (FCA) today published the findings of a complaints handling review of 18 medium and small sized firms currently handling payment protection insurance (PPI) complaints.
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