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Showing 2601 to 2610 of 2644 search results for insurance broker.

2601. FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex trading

      Press Releases Published: 06/05/2021 Last modified: 06/05/2021
      We have fined Sapien Capital Ltd £178,000 for failings which led to the risk of facilitating fraudulent trading and money laundering.

2602. Principal firms who have Credit Broking permissions: Good practice and areas for improvements

      Good and poor practice Published: 23/04/2024 Last modified: 23/04/2024
      We assessed the key harms and drivers of harm caused by ARs and IARs who undertake credit broking. We found some examples of good and poor practice that we'd like to share with firms, as we think they can improve their practices.

2603. CP15/25: Changes to the Approved Persons Regime for insurers not subject to Solvency II: reforms for larger Non-Directive Firms, feedback on CP 15/15, forms, consequentials and transitional aspects

      Consultation papers Published: 13/08/2015 Last modified: 24/11/2015
      Consultation Paper 15/25 [PDF]. This consultation affects all firms with permission to effect or carry out insurance contracts that fall out of scope of the Solvency II Directive (or of

2604. The FCA’s new competition powers: what do they mean for the financial services industry?

      Speeches Published: 21/11/2014 Last modified: 09/11/2016
      Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.

2605. FCA clarifies fairer treatment of regular premium PPI complaints and proposes new mailing requirements

      Press Releases Published: 07/11/2018 Last modified: 23/10/2023
      The FCA has today issued final guidance that clarifies its expectations about the handling of certain regular premium payment protection insurance (PPI) complaints.

2606. FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings

      Press Releases Published: 21/07/2011 Last modified: 24/11/2021
      The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls.

2607. FCA calls on firms to act following review of costs and charges disclosure in the investment sector

      Press Releases Published: 28/02/2019 Last modified: 28/02/2019
      The Financial Conduct Authority (FCA) has today published the key findings of supervisory work to assess the effectiveness of disclosure by asset managers and intermediaries, such as wealth managers, to their retail customers. This work was prompted

2608. The FCA fines and prohibits financial adviser for failing to act with integrity and for failing to be open and honest with the regulator

      Press Releases Published: 01/09/2016 Last modified: 06/03/2017
      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

2609. PS21/8: Regulation of funeral plans - Feedback to CP21/4 and final rules

      Policy statements Published: 02/03/2021 Last modified: 05/07/2021
      This policy statement sets out our final rules, guidance and standards as the pre-paid funeral plans sector enters our regulation.

2610. PS13/2 Tracing employers’ liability insurers – historical policies

      Policy statements Published: 04/06/2013 Last modified: 30/08/2015
      We are confirming new rules on employers’ liability insurance.