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Showing 371 to 380 of 447 search results for insurance broker firm Professional.
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FCA to ban promotion of speculative mini-bonds to retail consumers
The FCA has announced it will ban the mass marketing of speculative mini-bonds to retail customers. -
SM&CR categorisation for solo-regulated firms
Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this. -
The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure
Prohibited insiders, especially market professionals, will be caught and be made to account to those they have misled. ... Very shortly after receiving this email, Mr Breeze instructed his broker to sell his entire shareholding in MoPowered ‘at any -
TR15/6: Handling of insurance claims for Small and Medium-sized Enterprises (SMEs)
TR15/6: Handling of insurance claims for Small and Medium-sized Enterprises (SMEs). ... We selected 5 insurers, 10 insurance intermediaries (including 5 MGAs), and 10 loss assessing firms and interviewed the senior management and individuals responsible -
FCA finds small firms need to manage financial crime risks more effectively
The Financial Conduct Authority (FCA) has found that many small banks and commercial insurance intermediaries fail to effectively manage financial crime risk. -
RMA-D1 Regulatory capital
RMA-D1 Regulatory capital -
Claims handling lessons learned from business interruption insurance
The FCA sets out the findings from its review assessing how firms handled Business Interruption (BI) insurance claims following the Supreme Court’s judgment on the BI test case, including examples of good practices and areas where firms have -
Consumer Investments: Strategy and Feedback Statement
The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. -
The hidden cost of domestic financial abuse: working together to improve outcomes
Domestic financial abuse has a huge impact on the lives of those who experience it. -
PS13/5 Implementation of the Alternative Investment Fund Managers Directive
We are setting out our rules for implementing the Alternative Investment Fund Managers Directive (AIFMD) and responding to the feedback to our consultation.