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Showing 201 to 210 of 911 search results for insurance broker sector.

  1. PS17/8: Applying conduct rules to all non-executive directors in the banking and insurance sectors [pdf]

    Policy statements Published: 03/05/2017
    This Policy Statement (PS) introduces final rules to extend our Code of Conduct sourcebook (COCON) to standard non-executive directors (NEDs) in banks, building societies, credit unions and dual-regulated investment firms (‘banks’) and insurance

  2. 2014 fines

    News stories Published: 02/01/2014 Last modified: 31/08/2016
    This table contains information about fines published during the calendar year ended December 2014. The total amount of fines is £1,471,431,800.

  3. About our complaints data

    Data Published: 06/05/2016 Last modified: 19/10/2023
    This page provides more information about how the FCA collects and reports complaints data.

  4. Sensitive business names

    Tasks for firms Published: 13/09/2015 Last modified: 08/05/2024
    See a list of sensitive words relating to financial services and learn how to request our view if you propose to use of any of these terms in your business name.

  5. FCA Final Notice 2014: Sesame Limited [pdf]

    Final notices Published: 29/10/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 8 and COBS related to conflicts of interest in the life insurance and investment adviser sector. We imposed a fine.

  6. Notice of Undertaking: Policy Excess Insure Limited T/A Nova Direct [pdf]

    Undertakings Published: 31/03/2023
    Policy Excess Insure Limited trading as Nova Direct, has made changes to terms in its insurance broker contract (for the sale of Motor Breakdown, Home Emergency, Home Appliance, Gadget, Bicycle and Travel Insurance policies) entered into from 1

  7. Distributors: professional indemnity insurance

    Tasks for regulated firms Published: 13/05/2015 Last modified: 10/02/2023
    Certain firms are required to hold Professional Indemnity Insurance (PII)

  8. Final Notice 2021: Sunrise Brokers LLP [pdf]

    Final notices Published: 12/11/2021
    This Final Notice (Sunrise Brokers LLP) refers to breaches of PRIN 2 and PRIN 3 related to the risk of financial crime in the trading firms sector. We imposed a financial penalty

  9. Data Bulletin: May 2017 - Retail intermediary sector

    Data Published: 25/05/2017 Last modified: 21/08/2019
    This issue focuses on the retail intermediary sector and provides a useful insight into the activities of these firms.

  10. Chairman’s speech

    Speeches Published: 18/07/2013 Last modified: 18/07/2013
    Speech by FCA Chairman, John Griffith-Jones, at the Annual Public Meeting, London. This is the text of the speech as drafted, which may differ from the delivered version.