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Showing 361 to 370 of 383 search results for relation to sales of insurance policies.
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Monitoring orders and transactions – our expectations of firms
Speech by Patrick Spens, Head of Market Monitoring, the FSA, at the Futures Options Association Compliance Forum -
The FCA’s approach to Brexit: our preparations and our vision for the future
Speech delivered by Nausicaa Delfas, Executive Director of International at the FCA, at Bloomberg/TheCityUK. -
Financial services regulation and enforcement: recent developments and emerging issues
Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the NERA Economic Consulting seminar, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Rules that apply to firms in SRO and fund operators in the TMPR
We summarise the rules that apply to firms in the temporary permissions regime (TPR) and fund operators in the temporary marketing permissions regime (TMPR). -
FSA fines Willis Limited £6.895 million for anti-bribery and corruption systems and controls failings
The Financial Services Authority (FSA) has fined Willis Limited £6.895 million for failings in its anti-bribery and corruption systems and controls. -
Trust and confidence - ensuring firms’ ethics are built around their customers
Speech by Clive Adamson, Director of Supervision, at the Insurance Institute of London, London. This is the text of the speech as drafted, which may differ from the delivered version. -
Key findings on our recent work on pension transfer advice
Pension transfers have been a priority for us throughout 2018. Our work has focussed in particular on those firms most active in the market. We have also looked more closely into some firms based on intelligence (for example whistleblowing) we -
FCA publishes Annual Report 2015/16 and report of its competition activities since 2013
Influencing policy and technical standards internationally through bodies such as the European Securities and Markets Authority, the International Organisation of Securities Commissions and the Financial Stability Board;. ... These included looking at -
Guidance for firms supporting their existing mortgage borrowers impacted by the rising cost of living
The FCA is consulting on draft guidance explaining a range of options firms have to support customers, including varying a contract for forbearance purposes. -
CP18/43: High-Cost Credit Review: Feedback on CP18/12 with final rules and guidance and consultation on Buy Now Pay Later offers
As part of our review of high-cost credit products, we have published our feedback to CP18/12 and final rules and guidance in relation to home-collected credit, catalogue credit and store cards.