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Showing 101 to 110 of 149 search results for professional indemnity insurance to cover.

  1. Apply to become an electronic money or a payment institution

    Firm authorisation Published: 28/04/2015 Last modified: 19/06/2024
    Find out how to apply to the FCA if your firm wants to provide payment services, issue e-money or become a registered account information service provider.

  2. GC20/1: Advising on pension transfers

    Policy and guidance Guidance consultations Published: 05/06/2020 Last modified: 05/06/2020
    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

  3. Our ambitious agenda for UK asset management

    Speeches Published: 23/05/2024 Last modified: 28/06/2024
    Speech by Ashley Alder, FCA chair, at the Bloomberg Buy-side Forum.

  4. Regulatory Sandbox accepted firms

    Firms Published: 27/03/2022 Last modified: 24/05/2024
    Firms that have been accepted into the Regulatory Sandbox, including previous cohorts.

  5. RMA-D Regulatory capital and financial resources: FAQs

    Registers and systems Published: 13/05/2016 Last modified: 13/06/2022
    RMA-D Regulatory capital and financial resources: FAQs

  6. External audit requirements for investment management firms, securities and futures firms and personal investment firms (not small)

    Tasks for regulated firms Published: 06/08/2015 Last modified: 09/02/2023
    Read more about the external audit requirements for investment management firms, securities and futures firms, or personal investment firms (not small).

  7. Tribunal upholds FCA ban and significant fine on insurance broker

    Press Releases Published: 28/06/2013 Last modified: 17/09/2013
    The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to ban Andrew Jeffery, director of Jeffery Flanders (Consulting) Limited, and fine him £150,000 – one of the largest fines imposed on a broker for

  8. Temporary permissions regime (TPR) data: solo-regulated firms

    Data Published: 29/01/2024 Last modified: 29/01/2024
    This page provides a data summary of the firms under the temporary permissions regime (TPR).

  9. Consumer warning on pre-paid probate plans

    News stories Published: 25/01/2023 Last modified: 25/01/2023
    We strongly advise you to consider carefully whether a pre-paid probate plan meets your needs and offers value before buying as there are no regulatory protections in place for you.

  10. Agile regulation and planning for success

    Speeches Published: 06/10/2022 Last modified: 06/10/2022
    Speech by Emily Shepperd, FCA Chief Operating Officer and ED Authorisations, delivered at CISI/The Financial Planning Conference 2022