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Showing 3611 to 3620 of 4154 search results for insurance policies.
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FCA fines and bans former Investment Analyst at Aviva Investors
Aviva Investors’ policies required Mr Miah to book details of each trade, including the amounts to be allocated to specified funds, into an online system within 15 minutes of trading on -
Information related to Covid-specific whistleblower allegations - November 2021
The FCA responds to multiple questions regarding Covid-specific whistleblower allegations. -
FCA publishes instructions for accessing and downloading FCA FITRS files
We have built FCA FITRS (Financial Instruments Transparency System) to replace ESMA FITRS in the UK. -
Market abuse requires a dynamic response to a changing risk profile
In some firms, we have already observed financial crime policies and procedures which cover insider dealing and market manipulation. ... It is normal for firms to have policies in place which require front-office staff to escalate concerns about a -
FCA overhauls listing rules to boost growth and innovation on UK stock markets
The new rules are the biggest changes to the listing regime in over 3 decades. They aim to support a wider range of companies to issue their shares on a UK exchange, increasing opportunities for investors. -
Bank and FCA launch next phase of sterling Libor transition work
The Bank of England and the Financial Conduct Authority (FCA) are today announcing the next phase of work with market participants on Libor transition. -
Lamprell plc fined £2,428,300 for systems and controls failings
The Financial Services Authority (FSA) has fined Lamprell plc (Lamprell) £2,428,300 for significant failings in its systems and controls resulting in Listing Rules and related breaches. Lamprell could not adequately monitor its financial -
PS22/6: Preventing claims management phoenixing by financial services firms
New rules to prevent harm by stopping claims management phoenixing across the Financial Services market -
FCA confirms measures to raise standards in the funeral plans market
To enhance consumer protection in the funeral plans market, the FCA has confirmed the rules funeral plan providers will have to follow when they come under regulation from 29 July 2022. -
FCA publishes proposals on staff incentives and performance management in consumer credit firms
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.