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Showing 111 to 120 of 464 search results for wholesale insurance broker.

111. FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]

     Final notices Published: 15/05/2014 Last modified: 24/02/2015
     This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine.

112. 2021 fines

     News stories Published: 04/03/2021 Last modified: 17/12/2021
     This page contains information about enforcement fines published during the calendar year ending 2021.

113. FSA Final Notice 2009: Skyline Insurance Brokers Limited [pdf]

     Final notices Published: 07/09/2009 Last modified: 14/06/2014
     FSA Final Notice 2009: Skyline Insurance Brokers Limited

114. FSA Final Notice 2007: Flett Sinclair Insurance Brokers Limited (FSIB) [pdf]

     Final notices Published: 17/12/2007 Last modified: 14/06/2014
     FSA Final Notice 2007: Flett Sinclair Insurance Brokers Limited (FSIB)

115. Depositaries

     Focus areas Published: 08/06/2016 Last modified: 01/02/2023
     How to apply to act as a depositary of an authorised or unauthorised Alternative Investment Fund.

116. Dear CEO letter: Non-financial misconduct in wholesale general insurance firms [pdf]

     Correspondence Published: 03/01/2020
     We explain our view of non-financial misconduct in wholesale general insurance firms.

117. FSA Final Notice 2006: D A McKenna Insurance Brokers Limited [pdf]

     Final notices Published: 14/12/2006 Last modified: 14/06/2014
     FSA Final Notice 2006: D A McKenna Insurance Brokers Limited

118. Apply to become a mortgage broker

     Firm authorisation Published: 15/11/2023 Last modified: 15/11/2023
     Find out what permissions you'll need to apply to the FCA for authorisation, and what the FCA expects to see in your application.

119. Trail commission

     Consumers Published: 18/04/2016 Last modified: 13/06/2022
     If you received financial advice or used an intermediary to buy an investment product before 31 December 2012, you may be paying trail commission. Find out how you can stop paying.

120. FSA Final Notice 2006: A S General Insurance Brokers Plc [pdf]

     Final notices Published: 10/07/2006 Last modified: 14/06/2014
     FSA Final Notice 2006: A S General Insurance Brokers Plc