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Showing 131 to 140 of 149 search results for professional indemnity insurance cover.

  1. A forward look at regulation of the UK’s wholesale financial markets

    Speeches Published: 16/03/2021 Last modified: 16/03/2021
    Speech by Edwin Schooling Latter, Director of Markets and Wholesale Policy at the FCA, delivered at the ISLA's Post Trade Conference on 16 March.

  2. RMA-C Client money and assets: help text

    Registers and systems Published: 12/05/2016 Last modified: 13/06/2022
    RMA-C Client money and assets: help text

  3. SM&CR categorisation for solo-regulated firms

    Tasks for regulated firms Published: 31/07/2019 Last modified: 06/02/2023
    Under SM&CR, solo-regulated firms are categorised as limited scope, core or enhanced. Find out which category your firm is in and how you can review this.

  4. Keynote address: Financial crime in the FCA world

    Speeches Published: 01/07/2013 Last modified: 18/07/2013
    Speech by Tracey McDermott, Director of Enforcement & Financial Crime, the FCA, at the FCA Financial Crime Conference, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. RMA-D1 Regulatory capital

    Registers and systems Published: 12/05/2016 Last modified: 13/06/2022
    RMA-D1 Regulatory capital

  6. RMA-B Profit and loss account: help text

    Registers and systems Published: 12/05/2016 Last modified: 13/05/2021
    RMA-B Profit and loss account: help text

  7. PS23/7: Broadening retail access to the long-term asset fund

    Policy statements Published: 29/06/2023 Last modified: 29/06/2023
    This consultation sets out proposals for broadening the retail distribution of the LTAF.

  8. FCA outlines approach for implementation of Mortgage Credit Directive and regulatory framework for second charge mortgages

    Press Releases Published: 25/09/2014 Last modified: 01/10/2014
    A number of other changes will also be implemented including new knowledge and competency requirements, obligations for firms dealing in foreign currency mortgages and new levels of professional indemnity insurance.

  9. Improper delegation of authorised activities - a notice for financial adviser firms and their advisers

    Multi-firm reviews Published: 30/11/2015 Last modified: 18/05/2017
    Firms that are approached to delegate their regulated activities, such as providing pension switching advice, to an unauthorised third party need to be aware of the serious implications that may arise as a result of entering into this type of

  10. PS15/28: Capital resources requirements for personal investment firms (PIFs): feedback on CP15/17 and final rules

    Policy statements Published: 08/12/2015 Last modified: 11/08/2023
    Policy Statement on the main issues arising from CP15/17: Capital resources requirements for personal investment firms (PIFs) and publish the final rules.