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FCA and PRA publish final changes to enhance enforcement decision-making processes
The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have today published final changes in a Policy Statement (PS) aimed at strengthening the transparency and effectiveness of their enforcement decision-making processes -
Sheree Howard appointed as FCA Executive Director of Risk and Compliance Oversight
The Financial Conduct Authority (FCA) has today announced that Sheree Howard has been appointed as Executive Director of Risk and Compliance Oversight (R&CO). -
Retail intermediary market interactive analysis 2021
This page provides the FCA's interactive dashboard of the intermediary sector, based on the 2021 data drawn from the Retail Mediation Activities Return (RMAR). -
Information on the currently active list of independent financial advisors - November 2020
FCA provides information on independent financial advisors, number of employees, client assets and other financial information. -
Free trade in financial services and global regulatory standards: friends not rivals
Speech by Andrew Bailey, Chief Executive of the FCA, at the Economic Council Financial Markets Policy Conference. -
GC14/7 Proposed guidance on financial crime systems and controls
and financial sanctions, and small commercial insurance brokers anti-bribery and corruption, systems and controls. ... TR14/17 Managing bribery and corruption risk in commercial insurance broking: update. -
FSA bans and fines insurance broker Harbinder Panesar £212,237 for misappropriating money from his business and selling worthless policies
The Financial Services Authority (FSA) today banned insurance broker, Harbinder Panesar, from working in the financial services industry and fined him £212,237. -
PS22/13: Calculating redress for non-compliant pension transfer advice
We set out the changes to our methodology for calculating redress for consumers who suffered financial loss from transferring from a defined benefit to a defined contribution pension scheme following non-compliant advice. This includes former -
TR13/9 - Anti-Money Laundering and Anti-Bribery and Corruption Systems and Controls: Asset Management and Platform Firms
Although previous regulatory action relating to anti-money laundering (AML) and anti-bribery and corruption (ABC) systems and controls failings has focused on the banking and insurance sectors, there are significant -
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.