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Showing 911 to 920 of 2644 search results for insurance broker.

911. Final Notice 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson) [pdf]

     Final notices Published: 02/02/2017
     This final notice refers to breaches of PRIN 4, PRIN 11, SUP, MIPRU and COND related to failing to be open and co-operative and threshold conditions in the general insurance and protection and mortgages sector. We imposed a cancellation.

912. FX Profit Broker / FXPB / Armada Markets UK LTD (Clone of FCA and EEA authorised firm)

     Warnings Published: 28/08/2020 Last modified: 21/09/2020
     FX Profit Broker / FXPB / Armada Markets UK LTD (Clone of FCA and 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

913. Subordinated loans

     Tasks for regulated firms Published: 06/08/2015 Last modified: 15/02/2023
     A firm can use a subordinated loan to meet its own funds requirement if it is made in line with our requirements.

914. FSA Final Notice 2004: FT Investment & Insurance Consultants [pdf]

     Final notices Published: 01/03/2004 Last modified: 14/06/2014
     FSA Final Notice 2004: FT Investment & Insurance Consultants

915. Final Notice 2023: Ray Alan Davis [pdf]

     Final notices Published: 15/11/2023
     This Final Notice refers to breaches of FIT related to a lack of fitness/propriety in the General Insurance and Protection sector. We imposed a prohibition.

916. Market Watch 68

     Newsletters Published: 16/11/2021 Last modified: 19/11/2021
     In this Market Watch we discuss web-based trading platforms, which are widely used for Rates and Fixed Income products and share our concerns about gaps in users’ surveillance of web-based platform activity.

917. CP16/18: Changes to Handbook disclosure rules to reflect the direct application of PRIIPs Regulation [pdf]

     Consultation papers Published: 18/07/2016 Last modified: 18/07/2016
     The current regulatory disclosure requirements applicable to retail investment firms (including investment fund managers) are detailed in the FCA Handbook. This will change on 31 December 2016 when the Packaged Retail and Insurance-based Investment

918. Repeal and replacement of assimilated law

     Firms Published: 13/07/2023 Last modified: 01/05/2024
     Documents on the repeal and replacement of provisions in the retained EU law.

919. FSA Final Notice 2004: MM Insurance Services [pdf]

     Final notices Published: 01/01/2004 Last modified: 14/06/2014
     FSA Final Notice 2004: MM Insurance Services

920. Final Notice 2020: Aviva plc [pdf]

     Final notices Published: 26/10/2020
     This Final Notice (Aviva plc) refers to breaches of Listing Rule 1.3.3R and Transparency Rule 1A.3.2R related to Listing rules/DTR breaches in the General Insurance and Protection sector. We issued a public censure. File updated with accessibility