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Showing 891 to 900 of 2407 search results for liability insurance.

  1. FCA Final Notice 2014: Drain Claim Limited [pdf]

    Final notices Published: 07/01/2014 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a cancellation.

  2. FCA Final Notice 2013: John Patrick Morris [pdf]

    Final notices Published: 15/08/2013 Last modified: 07/04/2015
    This final notice refers to breaches of TC related to threshold conditions in the general insurance and protection sector. We imposed a OIVOP and cancellation.

  3. Final Notice 2015: Stephen Edward Bell [pdf]

    Final notices Published: 13/03/2015 Last modified: 31/03/2015
    This final notice refers to breaches of PRIN 3 (knowing concern) and FIT related to the lack of fitness/propriety, culture/governance and appointed representatives in the general insurance and protection, investment adviser and platform sector. We

  4. FCA Final Notice 2014: Anthony Clare [pdf]

    Final notices Published: 05/11/2014 Last modified: 07/04/2015
    This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine.

  5. Final Notice 2017: David Stanley Mather [pdf]

    Final notices Published: 03/02/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the investment adviser, mortgages and general insurance and protection sector. We imposed a cancellation.

  6. Final Notice 2015: Ralph Whittington [pdf]

    Final notices Published: 10/09/2015 Last modified: 10/09/2015
    This final notice refers to breaches of APER 1 and FIT related to lack of fitness/propriety, client money/assets and insurance fraud in the general insurance and protection sector. We imposed a fine, prohibition, and withdrawal.

  7. Suspicious transaction and order reports (STOR) figures 2016 [pdf]

    Data Published: 20/02/2017
    Number of Suspicious Transaction Reports (STRs) Received under the Market Abuse Directive (Directive 2003/6/EC) by the FCA for 3 July to 31 December 2016.

  8. Learning the lessons of the past as an industry

    Speeches Published: 02/12/2014 Last modified: 04/02/2015
    Nor are we alone in being criticised - regulators the world over have found it tough to establish disciplinary liability in respect of some of the mistakes of the past.

  9. Final notice 2016: Colin J McIntosh [pdf]

    Final notices Published: 01/02/2016 Last modified: 01/02/2016
    This final notice refers to breaches of APER 1, APER 4, APER 7, FIT and CASS related to appointed representatives, client money, failing to act on information appropriately, failing to be open and co-operative, lack of fitness/propriety and unfair

  10. Final Notice 2017: Best Broker Limited [pdf]

    Final notices Published: 20/11/2017
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the general insurance and protection sector. We imposed a cancellation.
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