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Showing 501 to 510 of 2644 search results for insurance broker.

501. FSA Final Notice 2011: Kevin Jonathan Dalglish trading as Dulwich Insurance Services [pdf]

     Final notices Published: 06/06/2011 Last modified: 14/06/2014
     For the reasons set out in this Final Notice, the FSA is taking action against Kevin Jonathan Dalglish trading as Dulwich Insurance Services

502. Operational resilience insights for insurance firms

     Firms General insurers and insurance intermediaries Published: 24/03/2022 Last modified: 31/01/2023
     Our rules come into force on 31 March 2022. Use these insights to review your firm’s approach and consider what actions you need to take.

503. Final Notice: Interactive Brokers (UK) Limited [pdf]

     Final notices Published: 25/01/2018
     This final notice refers to breaches of PRIN 3 and SUP 15.10.2R relating to poor market abuse controls and failure to report suspicious client transactions. We imposed a fine.

504. FSA Supervisory Notice 2010: Abbey Brokers Limited [pdf]

     Supervisory notices Published: 27/07/2010 Last modified: 14/06/2014
     FSA Supervisory Notice 2010: Abbey Brokers Limited

505. AFBD (Association of Future Brokers and Dealers) CD 1 [xls]

     Archive Published: 31/03/2013 Last modified: 03/08/2016
     AFBD (Association of Future Brokers and Dealers) CD 1

506. AFBD (Association of Future Brokers and Dealers) CD 2 [xls]

     Archive Published: 31/03/2013 Last modified: 03/08/2016
     AFBD (Association of Future Brokers and Dealers) CD 2

507. Cost of living

     Last modified: 04/07/2023
     Firms have an important role in supporting consumers struggling with higher living costs.

508. Information on business interruption insurance - December 2022

     FOI Release Date of Release: 13/12/2022
     The FCA provides a list of all individuals, firms and principals with permissions to provide mortgage advice as at 1 December 2021.

509. 2013 fines

     News stories Published: 02/01/2013 Last modified: 26/03/2024
     Fines published during the calendar year ending December 2013.

510. AXA Global Broker (clone of EEA authorised firm)

     Warnings Published: 10/06/2020 Last modified: 21/11/2020
     AXA Global Broker (clone of EEA 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