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Showing 111 to 120 of 139 search results for insurance broker remuneration review.

  1. TR14/17 – Managing bribery and corruption risk in commercial insurance broking: update

    Thematic reviews Published: 14/11/2014 Last modified: 23/11/2021
    This report follows the Financial Services Authority’s 2010 report on Anti-bribery and corruption in commercial insurance broking and our subsequent regulatory guidance and enforcement action.

  2. FG15/7 - Guidance on financial crime systems and controls

    Finalised guidance Published: 27/04/2015 Last modified: 30/08/2015
    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’

  3. Insights from the Cyber Coordination Groups

    Research notes Published: 11/03/2020 Last modified: 09/04/2024
    Insights from the Cyber Coordination Groups

  4. PS15/24: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers

    Policy statements Published: 06/10/2015 Last modified: 26/05/2016
    They complement our recent initiatives to reform senior management arrangements and remuneration in the financial services industry. ... we regulate, such as stockbrokers, mortgage brokers, insurance brokers, investment firms and consumer credit firms.

  5. FCA publishes proposals on staff incentives and performance management in consumer credit firms

    Press Releases Published: 04/07/2017 Last modified: 04/07/2017
    The Financial Conduct Authority (FCA) has published proposals on how consumer credit firms should manage risks related to how they pay and manage the performance of their staff.

  6. Automated advice: existing rules and guidance

    Firms Published: 27/03/2022 Last modified: 10/02/2023
    Before applying for Innovation Pathways, read our existing rules and guidance to check whether your question is covered.

  7. CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)

    Consultation papers Published: 01/05/2018 Last modified: 15/04/2019
    We have made final rules to change how the FSCS is funded and are consulting on changes to our Professional Indemnity Insurance (PII) requirements for Personal Investment Firms (PIFs).

  8. Defined Benefit (DB) transfers – further update on our work

    Multi-firm reviews Published: 05/06/2020 Last modified: 24/08/2020
    We set out further findings from our assessment of the suitability of defined benefit (DB) transfer advice, as part of a package of measures to improve standards in this area.

  9. Assessing liquidity for orderly wind-down: good and poor practices from general insurance brokers

    Multi-firm reviews Published: 23/09/2022 Last modified: 23/09/2022
    We set out findings of our multi-firm review of general insurance brokers, where we have identified areas for improvement which firms can learn from.

  10. GC14/7 Proposed guidance on financial crime systems and controls

    Guidance consultations Published: 14/11/2014 Last modified: 30/08/2015
    We propose to update our regulatory guidance, Financial crime: a guide for firms with examples of good practice from our two recent thematic reviews that considered small banks’ anti-money laundering ... and financial sanctions, and small commercial
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