Search results
Showing 21 to 30 of 32 search results for relation to solicitors' professional indemnity insurance.
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Our Perimeter Report
Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products -
Improper delegation of authorised activities - a notice for financial adviser firms and their advisers
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 -
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. -
RMA-B Profit and loss account: help text
RMA-B Profit and loss account: help text -
RMA-D1 Regulatory capital
RMA-D1 Regulatory capital -
Pension transfers or switches with a view to investing pension monies into unregulated products through SIPPs - Further alert
in relation to the switch or transfer as a whole (including the characteristics and risk of the wrapper and of the underlying investments). -
Review of principal firms in the investment management sector
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
Insurance brokers: serving consumers and businesses in times of uncertainty and change
Speech by Sheldon Mills, Executive Director, Consumers and Competition, delivered at the British Insurance Brokers' Association (BIBA) Conference. -
Regulated financial advice firms and individuals that attempt to avoid their redress liabilities
The FCA provides information to regulated financial advice firms -
Consumer Investments Strategy – 1 year update
The FCA provides an update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.