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Showing 11 to 20 of 149 search results for professional indemnity insurance cover.
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The Financial Conduct Authority takes disciplinary action against five individuals and three firms in relation to solicitors’ professional indemnity insurance and other insurance schemes’ failures
The Financial Conduct Authority (FCA) has fined five individuals and two firms a total of £15.5m, in addition to banning four of those individuals, for significant integrity and competence failings. -
The retail intermediary market 2019
This page provides the FCA's analysis of the intermediary sector in 2019 based on data drawn from the Retail Mediation Activities Return (RMAR). -
Compliance and other support
If you decide to get compliance support, it is important to consider what service your firm needs. See what types of support maybe helpful to your firm. -
Reviewing your resources
If you are a regulated firm, or wish to become regulated, you should review the level of resources required to operate your business effectively. -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
Review of host Authorised Fund Management firms
We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed. -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
We found that many firms had inadequate PII cover in place or had failed to disclose to their insurers the true nature of their business model. -
2013 Disclosure Log
The aim of the FCA's Disclosure Log is to keep information that it has released under the Freedom of Information Act and which it thinks is of wider public interest. Find the Disclosure Log for 2013. -
AISP models under PSD2
The FCA provides what an Agency models for authorised payment institutions or small payment institutions under PSD2 -
Defined benefit pension transfers
Read about the FCA's work in defined benefit (DB) transfers to date and the continued supervision in this area.