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Showing 82 to 91 of 161 search results for significant fine on insurance broker.
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Fines
Table of fines with links to further information. -
FCA fines compliance officer and broker whose actions enabled market abuse to be committed in October 2010
The Financial Conduct Authority (FCA) has fined David Davis, senior partner and compliance officer of Paul E Schweder Miller & Co, £70,258, and Vandana Parikh, a broker at the same firm, £45,673, for failing to act with due skill, care and -
Our approach to international firms
Find out what standards we expect from international firms providing financial services in the UK, or preparing to apply for full UK authorisation. -
ICAP Europe Limited fined £14 million for significant failings in relation to LIBOR
IEL's misconduct breached the FCA's Principles for Businesses, involved a significant number of brokers (including two managers) and occurred over a number of years. ... While IEL had certain policies and procedures in place to govern individual broker -
Financial promotions quarterly data 2023 Q2
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 April 2023 and 30 June 2023. -
Wholesale Conduct Risk
And this takes a myriad of forms, whether through traditional insurance; through enabling a large multinational to hedge its currency risks; providing capital for a start-up entrepreneur or, increasingly importantly, ... The fines paid by large global -
FCA’s work on market abuse and manipulation – update 17 June 2022
Explaining the work we do to tackle market abuse and manipulation. -
Consumer Duty: Not once and done
Speech by Nisha Arora, delivered at Deloitte: Consumer Duty - Next Steps -
General insurance value measures data 2022
The FCA has published value measures data for a wide range of General Insurance (GI) Products for January to December 2022. -
Regulatory Sandbox accepted firms
Firms that have been accepted into the Regulatory Sandbox, including previous cohorts. -
UBS fined £160 million for significant failings in relation to LIBOR and EURIBOR
The Financial Services Authority (FSA) has fined UBS AG (UBS) £160 million for misconduct relating to the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR). This is the largest fine ever imposed by the FSA.