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Showing 361 to 370 of 447 search results for insurance broker firm Professional.
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FG15/7 - Guidance on financial crime systems and controls
In November 2014, we consulted on proposed examples of good practice from two thematic reviews that considered small banks’ anti-money laundering and financial sanctions, and small commercial insurance brokers’ ... All respondents thought that our -
Insights from the Cyber Coordination Groups
Insights from the Cyber Coordination Groups -
FCA bans and fines financial adviser £68,300 for lacking honesty and integrity
The FCA has banned Simon Varley from working in financial services and fined him £68,300 for knowingly performing a controlled function without approval. -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
PS23/14: Multi-occupancy building insurance: Feedback to CP23/8 and final rules
We set out rule changes to address harms identified in the multi-occupancy building insurance market. -
Former Moore Capital trader pleads guilty to insider dealing
In a case brought by the Financial Conduct Authority (FCA) Julian Rifat a former senior execution trader at Moore Capital Management LLC has today pleaded guilty to an indictment reflecting 8 instances of insider dealing -
External audit requirements for mortgage intermediaries, lenders or administrators
Learn more about the external audit requirements for mortgage intermediaries, lenders or administrators and what you need to do. -
FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies
The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237. -
CP15/17: Capital resources requirements for Personal Investment Firms (PIFs)
CP15/17: Capital resources requirements for Personal Investment Firms (PIFs). Consultation papers First published:. ... providers of professional indemnity insurance (PII) to PIFs. providers of investment platform, professional and other services to PIFs. -
A forward look at regulation of the UK’s wholesale financial markets
Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the ISLA's Post Trade Conference on 16 March.