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Showing 102 to 111 of 161 search results for significant fine on insurance broker.
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Fines
Table of fines with links to further information. -
Tribunal upholds FSA decision to fine firm £8m for market abuse
The Upper Tribunal (Tax and Chancery Chamber) has directed the Financial Services Authority (FSA) to fine Swift Trade, a non-FSA authorised Canadian company with global operations, £8m for market abuse. The Tribunal described this as being “as -
The FCA fines Rabobank £105 million for serious LIBOR-related misconduct
The FCA fines Rabobank £105 million for serious LIBOR-related misconduct. Press Releases First published:. ... Collude with individuals at other LIBOR banks and interdealer broker firms who sought to influence Rabobank’s JPY LIBOR submissions. -
Financial promotions quarterly data 2023 Q4
We publish data on the number of financial promotions that it has taken action on to mitigate non-compliance with the our rules. This data is for 1 October 2023 and 31 December 2023. -
Teamwork: A Smart way to tackle financial crime
Speech by Steve Smart, FCA joint executive director of enforcement and market oversight, delivered at the Financial Services Investigations and Enforcement Summit. -
PS19/8: Increasing the award limit for the Financial Ombudsman Service
Following our Consultation Paper CP18/31, we are increasing the Financial Ombudsman Service’s award limit. The award limit sets the maximum amount of compensation the ombudsman service can require financial services firms to pay when it upholds a -
100 days of the FCA - Martin Wheatley speaks at the ABI Biennial Conference
Martin Wheatley, chief executive of the Financial Conduct Authority (FCA), will today tell the Association of British Insurers (ABI) Biennial Conference that the FCA is “a very different animal to the Financial Services Authority (FSA)”. -
FCA warns insurance firms over product governance rules deadline
Insurance firms may not be ready to implement new product governance rules there to ensure insurance provides fair value, according to a review published today by the Financial Conduct Authority (FCA). -
Culture and conduct - extending the accountability regime
Speech by Jonathan Davidson, Director of Supervision – Retail and Authorisations at the FCA, delivered at City and Financial Summit, London. -
Surveillance: The FCA's expectations and toolkits
Speech by Patrick Spens, Head of Market Monitoring, at the British Bankers' Association Market Abuse Conference. This is the text of the speech as drafted, which may differ from the delivered version. -
The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure
The FCA fines, publicly censures and orders Jersey resident to pay restitution for insider dealing and improper disclosure. ... Very shortly after receiving this email, Mr Breeze instructed his broker to sell his entire shareholding in MoPowered ‘at