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Showing 141 to 149 of 149 search results for providers of professional indemnity insurance.
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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 -
FCA operating service metrics 2022/23
This report sets out how the FCA performed in 2022/23 against 54 operating service metrics, including how it dealt with regulatory applications, telephone enquiries and other correspondence. -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
FS21/8: Feedback to consultation paper on liquidity mismatch in authorised open-ended property funds
We consulted on reducing the potential for investor harm where the terms for dealing in some property funds are not aligned with the time it takes to buy or sell the buildings in which the funds invest in. -
Competition Policy in Financial Markets – the view from the regulators
Speech by Mary Starks, Director of Competition, FCA, delivered at the Centre for Competition Policy (CCP) Conference on 10 June in Norwich. -
FG17/9: Guidance for firms on how to calculate redress for unsuitable defined benefit pension transfers
In GC17/1, we consulted on guidance to update the methodology used to calculate redress for unsuitable pension transfers from a defined benefit pension scheme to a personal pension. -
Regulated financial advice firms and individuals that attempt to avoid their redress liabilities
The FCA provides information to regulated financial advice firms -
FCA and PSR Boards appoint new members to decision-making committees, including new chair and two deputy chairs
His areas of expertise include disputes in the areas of financial services, regulatory matters and professional negligence. ... Caroline Ramsay is a Chartered Accountant with 20 years’ experience in insurance and investment management gained during her -
Sanctions systems and controls: firms’ response to increased sanctions due to Russia’s invasion of Ukraine
We set out key findings from our assessments of sanctions systems and controls in financial services firms. We include examples of good practice and areas for improvement, to help firms deliver even greater compliance with sanctions.