Search results
Showing 21 to 30 of 163 search results for level of professional indemnity insurance.
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Defined benefit pension transfers
Read about the FCA's work in defined benefit (DB) transfers to date and the continued supervision in this area. -
Principals and appointed representatives
If you’re a principal firm for an appointed representative (AR), find out what your responsibilities are and when to notify the FCA. -
GC20/1: Advising on pension transfers
The FCA is consulting on guidance on what it expects from firms when advising on pension transfers and conversions, particularly from defined benefit (DB) schemes to defined contribution (DC) schemes. This Guidance Consultation sets out best -
CP15/17: Capital resources requirements for Personal Investment Firms (PIFs)
consumers and consumer organisations. professional and trade bodies representing PIFs and other types of financial advisers. ... providers of professional indemnity insurance (PII) to PIFs. providers of investment platform, professional and other -
Electronic money institution applicants
Find out what conditions you must meet to become an e-money institution, and what to include in your application to be authorised by or registered with the FCA. -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
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. -
PS18/20: Improving the quality of pension transfer advice
The FCA is consulting on improving the quality of pension transfer advice. The consultation closes on 25 May 2018. -
Defined Benefit Advice Assessment Tool (DBAAT)
The FCA Defined Benefit Advice Assessment Tool (DBAAT) helps the market understand how they assess the suitability of Defined Benefit (DB) pension transfer and related investment advice and disclosures. -
Defined Benefit (DB) transfers – further update on our work
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.