Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 491 to 500 of 2644 search results for insurance broker.

  1. Compliance and other support

    Tasks for regulated firms Published: 09/05/2015 Last modified: 10/02/2023
    If you decide to get compliance support, it is important to consider what service your firm needs. See what types of support maybe helpful to your firm.

  2. Compact Insurance Services Ltd

    Warnings Published: 16/01/2012 Last modified: 27/11/2013
    We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself.

  3. The fairness challenge

    Speeches Published: 24/10/2013 Last modified: 25/10/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version.

  4. Final Notice 2022: BGC Brokers LP, GFI Securities Limited and GFI Brokers Limited [pdf]

    Final notices Published: 08/12/2022
    This Final Notice refers to breaches of Principle 3 of the FCA’s Principles for Businesses and Article 16(2) of the Market Abuse Regulation related to market protection and wholesale conduct in the Trading Firm sector. We imposed a financial

  5. Gefion Insurance A/S declared bankrupt

    Statements Published: 07/06/2021 Last modified: 07/06/2021
    Gefion Insurance A/S (Gefion) is an insurance firm authorised and regulated by the Danish Financial Supervisory Authority (DFSA).

  6. Report a scam

    Consumers Report a firm Published: 05/03/2020 Last modified: 10/04/2024
    If you think you’ve been contacted by a fraudster or unauthorised firm, find out which scams the FCA can look into and how to make a report.

  7. Capital Brokers (Clone of FCA authorised firm)

    Warnings Published: 18/03/2022 Last modified: 18/03/2022
    Capital Brokers (Clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and how to

  8. Insurance Conduct of Business Sourcebook (ICOBS)

    Tasks for regulated firms Published: 09/02/2016 Last modified: 16/02/2023
    Read more about ICOBS, our Handbook rules regulating general and protection insurance products sales.

  9. FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions

    Press Releases Published: 25/01/2018 Last modified: 25/01/2018
    The Financial Conduct Authority (FCA) has today imposed a financial penalty on Interactive Brokers (UK) (IBUK) in the amount of £1,049,412 for failings in its post-trade systems and controls for identifying and reporting suspicious transactions in

  10. Interactive Brokers (clone of an FCA Authorised Firm)

    Warnings Published: 30/07/2021 Last modified: 18/01/2022
    Interactive Brokers (clone of an FCA Authorised Firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with this unauthorised firm and
Related searches
Related topics